Earn your Financial Institution Compliance Risk Management Certification. Master adherence to laws and regulations.
Financial institutions must adhere to a myriad of laws and regulations. Failing to maintain strict compliance with these requirements brings the risk of penalties, lawsuits, and financial losses. Every bank and credit union must have professionals who thoroughly understand and can mitigate compliance risk.
Our Financial Institution Compliance Risk Management Certification program will enable you to:
- Master laws and regulations with the most significant compliance requirements
- Protect your financial institution from potential legal liability
- Prove your knowledge to colleagues and regulators
- Advance your career
We have packed a large volume of interesting and useful content into five engaging webinars, including detailed action items you can follow immediately to reduce compliance risk.
Financial Institution Compliance Risk Management Certification
Webinar 1:
Compliance Framework
Monday, March 22
1:00 PM Eastern; 12:00 PM Central; 11:00 AM Mountain; 10:00 AM Pacific
- Framework for an effective compliance program
- Risk governance frameworks
- Risk appetite statements
- OCC’s Heightened Standards guidelines
- FFIEC BSA/AML manual
- Evaluation of corporate compliance programs
Webinar 2:
Fraud, Data, IT, and Information Security Risk
Tuesday, March 23
1:00 PM Eastern; 12:00 PM Central; 11:00 AM Mountain; 10:00 AM Pacific
- Internal and external fraud risks for financial institutions
- Routine fraud
- Cybercrime and information security risks
- Court cases and regulations
- Best practices for fraud infrastructure
- Risk mitigation
Webinar 3:
Anti-Money Laundering (AML)
Wednesday, March 24
1:00 PM Eastern; 12:00 PM Central; 11:00 AM Mountain; 10:00 AM Pacific
- AML risk across the five pillars
- Regulatory expectations and best practices for Bank Secrecy Act/Anti-Money Laundering compliance
- Policies, procedures, and controls related to regulatory frameworks
- End-to-end compliance with relevant laws, regulations, and guidance
Webinar 4:
Anti-Bribery And Corruption (ABC)
Thursday, March 26
1:00 PM Eastern; 12:00 PM Central; 11:00 AM Mountain; 10:00 AM Pacific
- Bribery-related scandals and their cost to financial institutions
- Requirements of a strong ABC program
- Common control failures
- Red flags for evasion of ABC controls
Webinar 5:
Monitoring, Testing, And Examination
Friday, March 27
1:00 PM Eastern; 12:00 PM Central; 11:00 AM Mountain; 10:00 AM Pacific
- Regulator’s expectations for design and operating effectiveness
- Root cause analysis
- How to plan, scope, and test policies, procedures, and controls
- Common pitfalls of compliance programs
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