Topics Covered Include:

Course One: Corporate Governance in Financial Institutions

  • The Role of Compliance
  • Enterprise Risk Management
  • Comparing the Regulatory Systems across the Banking / Brokerage / Asset Management / Insurance Industries
  • Operational Risk Management/Compliance
  • Comparing U.S. and Other Major International Regulatory Systems
  • The Role of Internal Audit and Other Stewardship Functions
  • The Role of Administrative Law in Compliance
  • Assessing Critical Compliance Risks
  • Implications of FinTech and RegTech

Course Two: Regulatory Affairs within International Financial Institutions

  • Anti-Money Laundering / Anti-Terrorist Financing / Bank Secrecy Act (BSA) / USA PATRIOT Act
  • OFAC and Other Sanctions Regimes (ex. EU, UN, etc.)
  • Anti-Corruption / Anti-Bribery, including the Foreign Corrupt Practices Act (FCPA)
  • Consumer Regulations (Privacy, TILA, RESPA, etc.)
  • The Federal Reserve's Alphabet Regulations
  • The Role of Information Technology and Cyber Security
  • Dodd Frank (SIFI, Volcker Rule, CFPB, Living Wills, etc.)
  • Basel III

Course Three: Developing, Implementing and Leading a Compliance Program

  • Developing a Compliance Culture
  • Compliance Program Development - Key Policies and Procedures
  • Measuring an Effective Compliance Program / Adopting Sound Industry Practices
  • Monitoring and Testing a Compliance Program
  • Preparing for and Managing Regulatory Examinations
  • Role of the C-Suite vis-à-vis Board of Directors
  • The Cost of Non-Compliance
  • Lessons Learned from Major Regulatory Enforcement Actions / Case Studies