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3-Part Series for New Bank Compliance Officers

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

OnDemand
November 3, 2021
November 5, 2021
November 10, 2021
Presented by Kristen Tatlock
1h 30m total length
3 CAMS Credits
$769.00 or 3 Tokens

Includes: 30 Days OnDemand Playback, Presenter Materials and Handouts

  • Compliance
  • Risk Management/Legal
  • Bank Legal Counsel
  • Branch Manager
  • Compliance Officer
  • Risk Manager
  • Senior Management

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This is a three-part series to be held on November 3rd, 5th and 10th. The prices below include all sessions. Each session can also be attended individually by using the links below.

The "3-Part Series for New Bank Compliance Officers" has been approved for 1 CAMS credits. Credits are redeemable for Live attendance only. Users must connect to the streaming individually and enter their name and email for reporting purposes. Accreditation is valid for one year from the date of the event. 

Series Details

Compliance 101 for New Compliance Officers

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.

  • Overview of major compliance issues
  • Issues addressed in credit union bylaws
  • The importance of risk assessments
  • Resources all Compliance Officers need to know about

BSA 101 for New BSA Compliance Officers

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

Conducting a Compliance Audit/Review

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 of a compliance review
  • Compliance audit/review resources
  • Reviewing policies, procedures, and practices
  • Reporting the results of your review
  • Developing a compliance audit schedule

Covered Topics

November 3, 2021 – Compliance 101 for New Compliance Officers
10:00 AM Central

(To purchase this part only, CLICK HERE)

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 5, 2021 – BSA 101 for New BSA Compliance Officers
10:00 AM Central

(To purchase this part only, CLICK HERE)

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 10, 2021 – Introduction to Conducting a Compliance Audit/Review for New Compliance Officers
10:00 AM Central

(To purchase this part only, CLICK HERE)

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.

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.


Credit Information

3-Part Series for New Bank Compliance Officers has been approved for 3 CAMS credits. Credits are redeemable for Live attendance only. Credit is for Live attendance only. Accreditation is valid for one year from the date of the event. For questions on certificates, please email support@oncourselearning.com.