Program Outline

Topics covered include:

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