Elements of a Compliance Program for Compliance Professionals


A must-have course for understanding the types of risk assessments, key risk indicators, the ranking of risk exposures, how to manage and control risk, how to identify risk trends and leveraging training to control risk. Learn tips on how to effectively communicate risks to your senior management and examiners.

Updated: Mar. 2017

Re-versioned: June 2016

Learning Objectives

After completing this course, students will be able to:

  • Explain the key elements that form the foundation of a sound and effective compliance program
  • Identify ideas and examples of various ways each element can be integrated into compliance programs for banks of varying sizes, resources, geographies, and business activities
  • Describe how to document and present compliance programs to various constituencies such as senior management, the Board of Directors, or regulatory examiners

Audience

Compliance professionals including compliance managers, officers, and other compliance team members whose primary role is within the compliance function at their financial institution; bank examiners, bank regulators, auditors and lending compliance professionals.

Course Credits

ICB Certifications: 2.0 CRCM

ABA Certificates: This course applies to the ABA Certificate in Deposit Compliance and the ABA Certificate in Lending Compliance.

Your Instructor

Stuart J. Lehr 
Head of Global Regulatory Compliance for
Finacle Infosys Technologies Limited

Stu is responsible for monitoring the legislative and regulatory activity to facilitate Finacle’s technical solutions in support of client banks’ regulatory compliance programs. He has served on various ABA compliance committees and advisory boards. Stu is a compliance school faculty member.​​​​​​

​Questions? Please contact ABA Training for more information.
 

 Benefits of Self-Paced Training

 
  • Ultimate flexibility
  • Quizzes to support learning
  • Mobile format available
 

 Registration & Pricing

 

Individual Purchase:
ABA Member • $275
Non-Member • $375

Purchase for a Team:
To license this course to your bank for multiple learners, please contact ABA Training.

 

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