New Compliance Officer Training Part 1 – Compliance 101
Keeping up with all the rules, regulations, and laws that affect financial institution operations can be daunting for the most seasoned compliance professional. For new compliance officers, it can be overwhelming. This session is designed to provide a new compliance officer with tools to help make the transition on their new role easier.
Overview of major compliance issues
The importance of risk assessments
Resources all compliance officers need to know about
New Compliance Officer Training Part 2 – BSA 101
Compliance with the Bank Secrecy Act continues to be a supervisory priority, so it’s important for new BSA compliance officers to have a good grasp of the requirements and, more importantly, where to get answers to questions that may arise. This session will provide new BSA compliance officers with information on the laws and rules, as well as guidance on resources that can help make their jobs easier.
Overview of Bank Secrecy Act and other anti-money laundering rules
Components of strong BSA programs
Using technology to help with BSA compliance
Resources all BSA compliance officers need to know about
New Compliance Officer Training Part 3 – Conducting Internal Compliance Reviews
A compliance audit/review is a comprehensive evaluation of a financial institution’s adherence to regulatory guidelines. Its purpose is to identify problems and weaknesses BEFORE they are detected by examiners, or even worse, customers’ attorneys. This webinar will provide an overview of the tools and resources available for conducting a compliance review as well as areas to review and questions to ask.
The importance and purpose of a compliance review
Compliance audit/review resources
Reviewing policies, procedures, and practices
Reporting the results of your review
Developing a compliance audit schedule
What You’ll Learn
Each webinar in the series will cover specific topics relative to the subject matter.
Who Should Attend
This session is valuable for new compliance officers, chief compliance officers, compliance, legal, risk management staff, and CEOs.
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