CUNA Introduction to Compliance eSchool (recorded)

CUNA Introduction to Compliance eSchool (recorded)
Date:
04/28/2020 To 05/31/2021
Product Code:
AW3IC20
Speaker:
  • $595.00
    CUNA Member Price
  • Non Member Price $1,190.00
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As a new compliance officer, manager or staff member, or if compliance has newly been added to your daily responsibilities, knowing where to begin can be intimidating. As insurmountable as this task may seem, resources are available to help you get started. Begin building your compliance knowledge foundation by attending this eSchool.

Learning objectives:

  • Gain an overview of major compliance issues
  • Understand the importance of risk assessments
  • List resources all compliance officers need to know about
  • Gain an overview of Bank Secrecy Act and other anti-money laundering rules
  • Understand the importance of a compliance review
  • Understand the fundamentals of reviewing policies, procedures and practices
  • Understand key considerations of developing a compliance audit schedule

Who Should Attend

This eSchool is beneficial to new compliance officers, chief compliance officers, compliance, legal and risk management staff, internal auditors, operations staff and CEOs of small credit unions.

Topics

Compliance 101 – Introduction to Compliance for New Compliance Officers
Speaker: Kristen Tatlock

Keeping up with all of the rules, regulations and laws that affect credit union 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 in their new role easier; it can also provide long-term compliance officers with a refresher on regulations and resources.

Learning objectives:

  • Gain an overview of major compliance issues
  • Discuss the issues addressed in credit union bylaws
  • Understand the importance of risk assessments
  • Understand resources all compliance officers need to know about

BSA 101 – Introduction to the Bank Secrecy Act for New Compliance Officers
Speaker: Kristen Tatlock

Compliance with the Bank Secrecy Act (BSA) continues to be a supervisory priority, so it’s important for new BSA Compliance Officers to have a good grasp of the requirements and 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.

Learning Objectives:

  • Gain an overview of Bank Secrecy Act and other anti-money laundering rules
  • Learn the components of a strong BSA program
  • Discuss using technology to help with BSA compliance
  • Understand resources all BSA Compliance Officers need to know about

An Introduction to Conducting a Compliance Audit/Review
Speaker: Kristen Tatlock

A compliance audit is a comprehensive evaluation of a credit union’s adherence to regulatory guidelines. Its purpose it to identify problems and weaknesses BEFORE they are detected by examiners, or even worse, members and members’ 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.

Learning Objectives:

  • Understand the importance of a compliance review
  • Learn about compliance audit/review resources
  • Understand the fundamentals of reviewing policies, procedures and practices
  • Discuss best practices of reporting the results of your review
  • List key considerations of developing a compliance audit schedule

Recorded eSchool length: 4.5 hours

This eSchool is available to CUNA Training Bundle users at no additional cost.

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Additional Information