Navigating Laws, Rules, and Regulations for Compliance Professionals


SKU: 12441-1 Category:


Describes how laws are created and how regulations are developed and structured to fulfill their intent. Explains the standard means for referencing a citation and tips for researching various laws and regulations more efficiently.

What You’ll Learn

After completing this course, students will be able to:

  • Explain the purpose of federal banking laws and regulations
  • Explain how bills become law and describe the structure of a typical law
  • Describe the structure and format of regulations
  • Identify sources of guidance and practical tips for understanding and interpreting federal laws and regulations


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.

Course Credits

ABA Professional Certifications: 1.25 CRCMCERP

ABA Certificates: This course applies to the ABA Certificate in Deposit Compliance and the ABA Certificate in Lending Compliance.

Your Instructor

Robert Marx, CRCM, VP Compliance, WebBank

Robert Marx is a VP of Compliance and Treating Customers Fairly Officer for WebBank, a state-charted industrial bank headquartered in Salt Lake City, Utah. Prior to joining WebBank, he worked in banking and finance for over 28 years for companies including UBS Bank USA, American Express, Wells Fargo Bank, and others. Robert was the Compliance Officer and BSA Officer for UBS Bank, USA, and was the Chief Compliance Officer for Wright Express Financial Services.

Robert has developed a variety of training programs for bank staff, compliance and internal audit departments, and Toastmasters clubs and districts. He is a Certified Regulatory Compliance Manger and Certified Internal Auditor and a member of the Utah Banks Association Compliance Committee. Robert is a graduate of the ABA Graduate School of Compliance Risk Management and a faculty member and Advisory Board Vice-Chair of the ABA Compliance Schools.

Course Updates

Re-Versioned: January 2022

Additional information

Course Code



Online (Self-Paced)

Course Number



ABA Professional Certifications: 1.25 CRCM, CERP


Online Self-Paced

Member Price


Non-Member Price




    Your Cart
    Your cart is emptyReturn to Shop