New Compliance Officer Training: 3 Part Series
This is a three-part series to be held on September 20, 21, and 27. The prices below include all sessions. Each session can also be attended individually by using the links below.
Included Webinars
New Compliance Officer Training Part 1: Compliance 101
New Compliance Officer Training Part 2: BSA 101
New Compliance Officer Training Part 3: Conducting a Compliance Audit/Review
Series Details
New Compliance Officer Training Part 1: Compliance 101
September 20, 2023, 10:00 am CDT
Keeping up with all of 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 new bank compliance officers with tools to help make the transition to their new role easier.
What You’ll Learn
- 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
September 21, 2023, 1:30 pm CDT
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.
What You’ll Learn
- Overview of Bank Secrecy Act and other Anti-Money Laundering Rules
- Components of a strong BSA program
- Using technology to help with BSA compliance
- Resources all BSA Compliance Officers need to know about
New Compliance Officer Training Part 3: Conducting a Compliance Audit/Review
September 27, 2023, 1:30 pm CDT
A compliance audit/review is a comprehensive evaluation of a financial institution’s adherence to regulatory guidelines. Its purpose it 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.
What You’ll Learn
- 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
New Compliance Officers, Chief Compliance Officers, Compliance, Legal, Risk Management Staff, CEOs.
Instructor Bio
Kristen Tatlock is a nationally-known speaker and compliance consultant with over 30 years of experience in the credit union compliance arena. Kristen assists credit unions with issues ranging from advertising rules to bylaws, from Social Media compliance matters to Regulation Z, and just about every regulation and compliance concern in between.
Kristen has earned Compliance and Bank Secrecy Act certifications from the two national credit union trade associations. She regularly presents compliance training programs for CUNA, NAFCU, and many state Leagues around the country. She has also edited and revised numerous compliance training courses and modules for CUNA CPD and has authored several articles for various CUNA publications.
Registration Options
- Live Access, 30 Days OnDemand Playback, Presenter Materials and Handouts – $769
Available Upgrades
- 12 month OnDemand playback + $280
- 12 months OnDemand playback +CD + $370
- Additional live access (per person) + $255
