Certified Compliance and Regulatory Professional

Course One: Corporate Governance in Financial Institutions

• Enterprise Risk Management
• Key Banking Laws and Regulatory Affairs
• Operational Risk Management/Compliance
• Comparing U.S. and Other Major International Regulatory Systems
• The Role of Internal Audit and Other Stewardship Functions

 

Course Two: Regulatory Affairs within International Financial Institutions

• Role of Administrative Law in Compliance
• Developing a Compliance Culture
• Assessing Critical Compliance Risks
• Anti-Money Laundering / Anti-Terrorist Financing
• Bank Secrecy Act (BSA) / USA PATRIOT Act / OFAC / FATCA
• Foreign Corrupt Practices Act (FCPA)
• Customer Privacy and Information Security (Gramm-Leach-Bliley Act and Consumer Financial Protection Bureau “CFPB”)
• Regulations K, O, P, W, Y, Dodd-Frank Wall Street Reform and Consumer Protection Act, Basel lll and other federal and state regulations relevant to the international banking community
• The Role of Information Technology and Cyber Security

 

Course Three: Developing, Implementing and Leading a Compliance Program

• 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