Elements of a Compliance Program for Compliance Professionals
Course Number: ABA
Course Code: ABA
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.
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
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.