New Compliance Officer Training - 3 Part Series

September 20, 2023
September 21, 2023
September 27, 2023

A Program

Click Here to register for program $769.00

Click Here to register for program and receive recording $1139.00

This 3 part series is designed as an introduction to compliance, BSA, and auditing for New Compliance Officers.

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 a new bank 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

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.

  • Overview of Bank Secrecy Act and other Anti-Money Laundering Rules
  • Components of a 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

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 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

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.