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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 5, 2021
May 12, 2021
May 19, 2021
Presented by Kristen Tatlock
1h 30m total length
6 CEU Credits
$535.00 or 3 Tokens

Includes: 30 Days OnDemand Playback, Presenter Materials and Handouts

  • Auditing
  • BSA
  • Compliance
  • Management/Employee Development
  • 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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This is a three-part series to be held on May 5th, 12th and 19th. The prices below include all sessions. Each session can also be attended individually by using the "CLICK HERE" links.

Series Details

Compliance 101 - Introduction to Compliance 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 - Introduction to the Bank Secrecy Act 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

What You'll Learn

Compliance 101 - Intro to Compliance for New Compliance Officers

May 5th, 2021 at 10am (CT)

(To purchase this part only, CLICK HERE)

Keeping up with all of the rules, regulations, and laws that affect credit union 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.

Topics Will Include:

  • 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 – Intro to Bank Secrecy Act for New BSA Compliance Officers

May 12th, 2021 at 10am (CT) 

(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.

Topics Will Include:

  • 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 

May 19th, 2021 at 10am (CT)

(To purchase this part only, CLICK HERE)

A compliance audit is a comprehensive evaluation of a credit union’s adherence to regulatory guidelines. Its purpose it to identify problems and weaknesses BEFORE they are detected by examiners, or even worse, members and members’ 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.

Topics Will Include:

  • 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

Learn caption

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

Recommended for 6 CEU Credit Hours. After attending this webinar, each attendee can receive a Certificate of Attendance for self-reporting of CEU Credits.

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