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Conduct Risk: Sales and Beyond

Aired: Wednesday, October 10, 2018

2.5 CRCM, 2.5 CERP

Bank employee misconduct cannot only result in costly fines and damage to the bank's reputation, it also causes consumer and employee harm, erodes the market's confidence and trust in the bank, depletes capital, and decreases the bank's resiliency. While sales practices and employee compensation are currently a top focus, conduct risk is not limited to that topic.

You will receive guidance on managing conduct risk, including sales practices and employee compensation risk. Get your questions answered.

This briefing features information originally presented during the June 2018 Regulatory Compliance Conference. Content has been updated for this program. If you or your colleagues missed the conference session, now is the chance to participate!

Discussion Highlights:

  • Governance and oversight
  • Policies and procedures
  • Establishment of communications standards
  • Detection and monitoring
  • Staff engagement
  • Risk identification
  • People management
  • Investigation, evaluation, and escalation of problems
  • Measuring and reporting effectiveness


  • Kathlyn (Lyn) L. Farrell, CRCM, CAMS, AMLP, Senior Advisory Board Member, Treliant (moderator)
  • Kara Tucker, J.D., Enterprise Ethics Office, Sun Trust Bank
  • Aprille M. Savarese, Director, Senior Vice President, Conduct, Security and Financial Crimes Risk Management, Zions Bancorporation
  • Cara Williams, CRCM, CCEP-I, Senior Vice President, Head of Risk Assessment and Monitoring Corporate Risk, Conduct Management Office, Wells Fargo

 Continuing Education Credits


ABA Professional Certifications has approved this program for 2.5 CRCM and 2.5 CERP continuing education credits for the live program and the recording.

CPE logoRecordings are not eligible for CPE credits.

American Bankers Association is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:

​Program Questions? Please contact Linda Shepard / Cari Hearn.

 Pricing & Purchasing


Streaming Online Recording
Now Available

ABA Member • $265
Non-Member • $395



  • Compliance Officers and Managers
  • Bank Counsel
  • Risk Managers and Auditors
  • Marketing Managers and Directors
  • Retail Sales Managers
  • Social Media Managers
  • Senior Bank Managers
  • CRCMs, CERPs, and CPAs

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