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New Compliance Officer Training Part 3 - Conducting Internal Compliance Reviews

A compliance audit/review is a comprehensive evaluation of a financial institution’s adherence to regulatory guidelines. Its purpose is to identify problems and weaknesses BEFORE they are detected by examiners, or even worse, customers’ 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.

Upcoming
Tuesday, October 22nd, 2024
10:00 am - 11:30 am
Presented by Kristen Tatlock
2 CRCM Credits
$299.00 or 1 Token

Includes: Live Access, 30 Days OnDemand Playback, Presenter Materials and Handouts

  • Auditing
  • BSA
  • Compliance
  • Deposit Compliance
  • General Compliance
  • Lending Compliance
  • Risk Management/Legal
  • Bank Legal Counsel
  • Bank Secrecy Act Officer/BSA Specialist
  • Compliance Officer
  • Deposit Operations Manager/Specialist
  • Internal Auditor
  • Loan Operations Manager/Specialist
  • Marketing Officer/Business Development
  • Risk Manager
  • Training Manager
  • Trainer

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To register for the full series, click here.

As a new compliance officer, an excellent way for you to gauge your institution's compliance program is to conduct compliance reviews/audits.

This webinar will provide a new compliance officer with an overview of the tools and resources available for conducting an internal compliance review as well as areas to review and questions to ask. We’ll go through some reviews so attendees can get an idea of how to conduct an actual review, what to address, and how to report the results.

While this session may also provide long-term compliance officers with a refresher on conducting compliance reviews, it is designed primarily for compliance officers with less than two to three years of compliance experience.

What You'll Learn

  • The importance and purpose 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, and CEOs will all find this session beneficial.

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 provides guidance to financial institutions on a wide range of compliance issues, including advertising regulations, Regulation E, social media compliance, Regulation Z, the Bank Secrecy Act, Fair Lending rules, and nearly every other regulatory and compliance concern.

Kristen holds national certifications in Compliance and the Bank Secrecy Act and frequently conducts compliance training programs for organizations at both the national and state levels.

Continuing Education Credit Information

New Compliance Officer Training Part 3 - Conducting Internal Compliance Reviews has been approved for 2 CRCM credits. This statement is not an endorsement of this program or its sponsor. Credits are redeemable for both Live and OnDemand viewing. For questions on certificates, please email support@oncourselearning.com. Certification holders must report these credits at https://aba.csod.com.

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