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UDAAP Compliance in the First Line of Defense

Aired: Thursday, November 30, 2017

2.0 CRCM, 2.0 CERP

The first line of defense must exercise a strong commitment in developing and managing compliance management processes to control and monitor potential UDAAP risks effectively. In this 90-minute recording our first line of defense experts discuss the leading industry practices for accomplishing "first line" responsibilities in the UDAAP context as well as regulatory expectations. They provide examples of effective consumer protection controls a strong first line of defense employs. Get your questions answered.

This recording focuses on:

  • Coordinating a compliance risk management process
  • Bolstering first line UDAAP risk assessments
  • Marketing review strategies for the first line
  • First line responsibilities in monitoring partnerships
  • Enhanced vendor management processes for the first line
  • Products and processes with high risk UDAAP concerns


  • Lyn Farrell, Senior Advisor, Treliant Risk Advisors LLC
  • Janet Hale, Engagement Director, Treliant Risk Advisors LLC
  • Monisha Nariani, Director of Business and Industry Practices for the Global Consumer Bank, Citi
  • Mark Nelson, Director, Business Risk Monitoring, First National Bank of Omaha
  • Louis Olivera, Vice President, Business Risk Monitoring, First National Bank of Omaha

 Continuing Education Credits

The ABA Professional Certifications has approved this program for 2.0 CRCM and 2.0 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:
Questions? Please contact Linda Shepard / Cari Hearn for more information.

 Pricing & Purchasing


Streaming Online Recording
Now Available

ABA Member • $235
Non-member • $365


 Who Should Attend

  • Compliance Officers
  • Compliance Managers
  • Bank Counsel
  • Risk Managers
  • Risk Auditors
  • Small Business Lenders
  • Consumer Lenders
  • Senior Bank Managers
  • CRCMs and CPAs

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