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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.

OnDemand
Recorded Wednesday,
May 5th, 2021
Presented by Kristen Tatlock
1h 30m total length
2 CEU Credits
$195.00 or 1 Token

Includes: 30 Days OnDemand Playback, Presenter Materials and Handouts

  • Compliance
  • Risk Management/Legal
  • Bank Legal Counsel
  • Compliance Officer
  • Internal Auditor
  • Senior Management

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This is for Part 1 Only. For series pricing, CLICK HERE.

"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.

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.

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

Learn caption

New Compliance Officers, Chief Compliance Officers, Compliance, Legal, Risk Management 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.


Credit Information

Recommended for 2 CEU Credit Hours. After attending this webinar, each attendee can receive a Certificate of Attendance for self-reporting of CEU Credits.