This is a three-part series to be held on November 3rd, 5th and 10th.
November 3, 2021 – Compliance 101 for New Compliance Officers
10:00 AM Central
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.
November 5, 2021 – BSA 101 for New BSA Compliance Officers
10:00 AM Central
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.
November 10, 2021 – Introduction to Conducting a Compliance Audit/Review for New Compliance Officers
A compliance audit 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 or 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.
Who Should Attend?
New Compliance Officers, Chief Compliance Officers, Compliance, legal, risk management staff, CEOs.