What You'll Learn
- 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
Training Overview
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
- 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
- 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)
- 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)
- 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
- 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
Who Should Attend?
- Individuals in the compliance practice
- Practitioners seeking to advance their careers within compliance
- Auditors and compliance testing specialists
- Financial services professionals with an interest in moving into compliance
- Compliance analysts
- Compliance officers
- Auditors
- Lawyers
- Consultants
Expert Presenter
Michael Schidlow
- Financial crime compliance advisory and training consultant
- Over fourteen years of experience in the legal, compliance, and audit fields
- Previously has held leadership roles with Bank of America and HSBC
- Certified Fraud Examiner (CFE)
- Certified AML Audit Specialist (CAMS-Audit)
- Licensed attorney
- Professor of criminal justice and ethics
Certifications
Employers particularly appreciate BankersWeb certifications because they represent definitive confirmation of the mastery of the subject area.
Please follow these steps to earn your certification:
- Attend all the training sessions in their entirety.
- Gain access to the final exam at the conclusion of the last session.
- Take the final exam and receive a score of 80% or better.
If you have any questions about the certification process, please get in touch with us.
We look forward to your participation!