Introduction to Fiduciary Risk Management and Compliance

Course Number: ABA

Course Code: ABA

Fiduciary risk management and compliance requires due diligence and ongoing monitoring throughout the life of the relationship. This course provides a foundation in the regulations, bank policies and procedures and relationship management responsibilities that impact fiduciary risk management and compliance. 

What You’ll Learn

After completing this course, students will be able to:

  • Describe the difference between risk management and compliance
  • Explain the effects of market, operational and reputational risks on fiduciaries
  • Describe the federal regulations that provide guiding principles for fiduciaries
  • Identify the regulatory agencies responsible for oversight of fiduciary risk management and compliance
  • Describe the three lines of defense in fiduciary risk management and compliance
  • Identify the responsibilities at each stage of the fiduciary risk management and compliance lifecycle

Audience: Client-facing relationship managers (fiduciary advisors, portfolio managers, bankers, planners) who want to raise their client engagement acumen.

Prerequisites: n/a

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Member Price: $135.00
Non-Member Price: $185.00
Textbook Charge: $0.00

Credits: 0.50 CTFA, CCTS

Length: Approximately 25 minutes

ABA Training