CUNA Introduction to Compliance eSchool (recorded)

CUNA Introduction to Compliance eSchool (recorded)
Date:
10/14/2021 To 09/30/2022
Product Code:
AW3IC21
Speaker:
  • $595.00
    CUNA Member Price
  • Non Member Price $1,190.00
  • Learn how to become a member here: cuna.org/join

 
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This eSchool is the compliance 101 of CUNA’s compliance trainings. For those new to the world of financial compliance, but not quite ready to take the Credit Union Compliance Expert (CUCE) certification. Through this eSchool you will learn the basic understanding of financial compliance, BSA and audit/reviews.

Who Should Attend

This eSchool is beneficial for new compliance officers, chief compliance officers, compliance, legal, 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

"Where do I even start?" is a question new compliance professionals 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 professional with tools to help make the transition to their new role easier. It can also provide long-term compliance professionals with a refresher on regulations and resources.

During this session, you will: 

  • Receive an overview of major compliance issues
  • Understand the importance of risk assessments
  • Review regulator focus
  • Review resources all compliance officers need to know about

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

"What all is involved in BSA?" is a question new BSA Officers often ask themselves. This program will provide resources and information to help answer that question. Compliance with the Bank Secrecy Act continues to be a supervisory priority, so it’s important for new BSA 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 officers with information on the laws and rules, as well as guidance on resources that can help make their jobs easier.

During this session, you will:

  • Receive an overview of Bank Secrecy Act and other anti-money laundering rules
  • Review components of a strong BSA program
  • Use technology to help with BSA compliance
  • Review resources all BSA officers need to know about

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

One of the best ways to get a feel for your credit union's compliance program is to conduct compliance reviews or audits of different areas of operations.

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

During this session, you will:

  • Gain an understanding of the importance of a compliance review
  • Review compliance audit/review resources
  • Review policies, procedures, and practices
  • Report the results of your review
  • Develop a compliance audit schedule

Recorded eSchool length: 4 hours 30 minutes

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

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Additional Information