3-Part Series for New Compliance Officers

This is a three-part series to be held on May 27th, June 10th and June 24th. The prices below include all sessions. Each session can also be attended individually by using the "CLICK HERE" links.

Series Topics

Compliance 101 - Intro to Compliance for New Compliance Officers

May 27th, 2020 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

June 10, 2020 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 

    June 24th, 2020 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

    Who Should Attend?

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