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
- FATCA and FACTA
- 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
