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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
April 25, 2022
April 27, 2022
May 3, 2022
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

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

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Series Details

Compliance 101 for New Compliance Officers - Part 1

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
  • The importance of risk assessments
  • Resources all Compliance Officers need to know about

BSA 101 for New BSA Compliance Officers - Part 2

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

Introduction to Conducting a Compliance Audit/Review for New Compliance Officers - Part 3

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

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

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

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