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3 Part Series for New Compliance Officers

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

OnDemand
May 4, 2022
May 11, 2022
May 18, 2022
Presented by Jamin Carlisle
1h 30m total length
$535.00 or 3 Tokens

Includes: 30 Days OnDemand Playback, Presenter Materials and Handouts

  • Auditing
  • BSA
  • Compliance
  • Operations
  • Risk Management/Legal
  • Bank Secrecy Act Officer/BSA Specialist
  • Compliance Officer
  • Deposit Operations Manager/Specialist
  • Human Resources Officer
  • Security Officer
  • Senior Management
  • Trainer

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Series Details

Compliance 101 for New Compliance Officers - Part 1

"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.

  • Overview of major compliance issues
  • The importance of risk assessments
  • Regulator focus
  • 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

One of the best ways to get a feel for your credit union's compliance program is to conduct compliance reviews/audits of different areas of operations.

  • 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

Each webinar in the series will cover specific topics relative to the title.

Who Should Attend

New Compliance Officers, New BSA Compliance Officers, Chief Compliance Officers, Compliance, Legal, Risk Management Staff, Internal Auditors, Operations Staff, CEOs.


Jamin Carlisle

Instructor Bio

Jamin Carlisle has almost a decade of experience in banking and credit union compliance as well as the Credit Union Compliance Expert (CUCE) certification. His primary areas of expertise include BSA/AML, vendor management, disaster recovery, and staff training. In addition to in-house credit union compliance experience, he has served on planning committees for consumer awareness and elder abuse conferences and given presentations to local community colleges, high schools, and community groups. Jamin has developed and provided compliance and BSA training for groups as large as 350 people.

Prior to beginning his career in compliance, Jamin completed his BA and MA at The University of Tennessee Knoxville and worked as a graduate lecturer.