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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: April 2019

What You'll Learn

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


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

ABA Professional Certifications: 2.0 CERP, 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

Stu spent over 30 years building and leading regulatory risk management programs for several large, complex financial institutions. He also served as Senior Director for Global Compliance Risk Management for PayPal, Inc. Immediately prior to retirement, he worked for Infosys Limited, where he led the global regulatory compliance team for Finacle, an integrated core processing system for banks.
Stu taught at the ABA Compliance Schools for 22 years. In addition, from 2010 through 2017, Stu wrote “The Other Side,” a compliance humor column for the ABA Bank Compliance Magazine.
Stu holds a B.A. degree in Psychology from Nebraska Wesleyan University, and a Juris Doctor degree from the University of Nebraska, College of Law.  Since his retirement in 2018, Stu has been writing a memoir.

​Questions? Please contact ABA Training for more information.



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


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