This three-day school is designed to provide bankers with the necessary tools to develop, implement, and manage a compliance program. It is geared toward bankers who have been asked to expand their role in compliance management and enhance the bank's compliance program.

The 2019 Compliance Management School will be held May 14-16 at the Wintergreen Resort & Conference Center in Wisconsin Dells. Classes will begin at 9:00 a.m. on Tuesday and conclude at 2:00 p.m. on Thursday.

Curriculum Includes:

  • Compliance Officer Role and the Stakeholders
  • Compliance Program Components
  • Regulators – What do They Require?
  • Resources and Research Skills
  • Policy & Procedures
  • Risk Assessments
  • The Three Lines of Defense: Front Line/Departments; Compliance/Risk; Independent Audit
  • Outsourcing Management
  • Examination Management: Violations, Process, and Documentation
  • How to Respond to a Proposed Rule
  • Compliance Advocacy

Students will be involved in a case study intended to draw all the elements of the curriculum together. Each group will present their case study on the final day to receive their diploma.

Who Should Attend:
Compliance officers, risk managers and individuals who are responsible for the management of the bank's compliance department or individuals who address compliance issues in their daily activities will benefit from this school.

Admissions Recommendations:
This school will not cover specific rules and regulations, but instead will provide the tools and skills that are necessary for implementing and managing a successful compliance program at your bank. Prior compliance training and/or working knowledge of the various rules and regulations may be helpful.

Click Register for additional school information and to register online.