Elements of a Compliance Program for Compliance Professionals

ABA SELF-PACED ONLINE TRAINING

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.

Objectives:

  • 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.

ABA Certifications: 2.0 CRCM

Your Instructor: Stuart J. Lehr, Head of Global Regulatory Compliance, 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.

Related Training: ABA Certificate in Lending Compliance

The New York Bankers Association is a Local ABA Training Provider.

Questions:
NYBA Professional Development at (212) 297-1679 or education@nyba.com.
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Member $275
Non-Member $375


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