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New Compliance Officer Training - 3 Part Series

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

OnDemand
April 19, 2023
April 24, 2023
April 26, 2023
Presented by Kristen Tatlock
1h 30m total length
6 CRCM Credits
$769.00 or 3 Tokens

Includes: 30 Days OnDemand Playback, Presenter Materials and Handouts

  • Auditing
  • BSA
  • Compliance
  • Deposit Compliance
  • General Compliance
  • Lending Compliance
  • Risk Management/Legal
  • Bank Legal Counsel
  • Bank Secrecy Act Officer/BSA Specialist
  • Compliance Officer
  • Deposit Operations Manager/Specialist
  • Internal Auditor
  • Marketing Officer/Business Development
  • Risk Manager

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Series Details

New Compliance Officer Training Part 1: Compliance 101

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.

  • 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 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

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.

  • 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.

Kristen Tatlock

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.

Continuing Education Credit Information

New Compliance Officer Training - 3 Part Series has been approved for 6 CRCM credits. This statement is not an endorsement of this program or its sponsor. Credits are redeemable for both Live and OnDemand viewing. For questions on certificates, please email support@oncourselearning.com. Certification holders must report these credits at https://aba.csod.com.

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