New Compliance Officer Training-3 Part Series Webinar

This 3-part series is designed as an introduction to compliance, BSA, and auditing for New Compliance Officers.

New Compliance Officer Training Part 1: Compliance 101

April 19, 2023, 2:30 pm EDT

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 new bank compliance officers with tools to help make the transition to their new role easier.

What You’ll Learn

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

New Compliance Officer Training Part 2: BSA 101

April 24, 2023, 2:30 pm EDT

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.

What You’ll Learn

• Overview of Bank Secrecy Act and other Anti-Money Laundering Rules
• Components of a strong BSA program
• Using technology to help with BSA compliance
• Resources all BSA Compliance Officers need to know about

New Compliance Officer Training Part 3: Conducting a Compliance Audit/Review

April 26, 2023, 2:30 pm EDT

A compliance audit/review is a comprehensive evaluation of a financial institution’s adherence to regulatory guidelines. Its purpose it 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.

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

Continuing Education (CE) Credits

This webinar is recommended for 2.5 CE Credit Hours. Each attendee will receive a Certificate of Attendance for self-reporting of CE Credits.