3-Part Series for New Bank Compliance Officers

October 20, 2020 November 2, 2020 November 18, 2020

A Program

Click Here to register for live program $725

Click Here to register for live program $1075*

This is a three-part series to be held on October 20th, November 2nd and November 18th.

Covered Topics

October 20, 2020 – Compliance 101 for New Compliance Officers
1:30-3:00 PM Central

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 a new compliance officer with tools to help make the transition on their new role easier; it can also provide long-term compliance officers with a refresher on regulations and resources.

November 2, 2020 – BSA 101 for New BSA Compliance Officers
1:30-3:00 PM Central

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.

November 18, 2020 – Introduction to Conducting a Compliance Audit/Review for New Compliance Officers
10:00-11:30 AM Central

A compliance audit 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 or 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.


Kristen Tatlock is a nationally-known speaker and compliance consultant with over 30 years of experience in the bank and 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.

* Registration Plus Recording: Includes the live session (one connection, unlimited attendees), CD ROM, (shipped 7-10 business days after live session), unlimited access to OnDemand Playback and links to presenter materials and supplementary handouts for 6 months after live session.