Compliance 101 for New Compliance Officers

This is for Part 1 Only. For series pricing, CLICK HERE.

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.

Covered Topics

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

Who Should Attend?

New Compliance Officers, Chief Compliance Officers, Compliance, legal, risk management staff, CEOs.