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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.

OnDemand
Recorded Wednesday,
October 25th, 2023
Presented by Kristen Tatlock
1h 30m total length
$279.00 or 1 Token

Includes: 30 Days OnDemand Playback, Presenter Materials and Handouts

  • Compliance
  • Bank Legal Counsel
  • Bank Secrecy Act Officer/BSA Specialist
  • Branch Manager
  • Compliance Officer
  • Risk Manager

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Keeping up with all of 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; it can also provide long-term compliance officers with a refresher on regulations and resources.

What You'll Learn

  • Overview of major compliance issues
  • The importance of risk assessments
  • Regulator focus
  • Resources all Compliance Officers need to know about

Who Should Attend

New Compliance Officers, Chief Compliance Officers, Compliance, legal, risk management staff, 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.

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