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New Compliance Officer Training Part 1 - Compliance 101

Keeping up with all 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.

OnDemand
Recorded Wednesday,
October 9th, 2024
Presented by Kristen Tatlock
1h 30m total length
2 CRCM Credits
$299.00 or 1 Token

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
  • Loan Operations Manager/Specialist
  • Marketing Officer/Business Development
  • Risk Manager
  • Training Manager
  • Trainer

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"Where do I even start?" is a question new compliance officers often ask themselves. This program will provide resources and information to help answer that question.

We'll highlight the main compliance rules and regulations that affect operations for all financial institutions. The session also provides some tools and resources new compliance officers can use to help with their duties.

While this session may also provide long-term compliance officers with a refresher on regulations and resources, it is designed primarily for compliance officers with less than two to three years of compliance experience.

What You'll Learn

  • Overview of major compliance issues
  • The importance of risk assessments
  • Resources all compliance officers need to know about

Who Should Attend

This session is valuable for new compliance officers, chief compliance officers, compliance, legal, risk management staff, and CEOs.

Kristen Tatlock

Instructor Bio

Kristen Tatlock is a nationally recognized speaker and compliance consultant with over 35 years of expertise in financial institution compliance. She helps financial institutions navigate a wide range of compliance issues, including advertising rules and regulations, bylaws, social media compliance, Regulation Z, and many others.


Kristen holds certifications in Compliance and the Bank Secrecy Act. She frequently conducts compliance training for national trade organizations, state associations, and individual institutions nationwide. Additionally, she has authored, edited, and revised numerous compliance articles and training modules for national trade associations.

Continuing Education Credit Information

New Compliance Officer Training Part 1 - Compliance 101 has been approved for 2 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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