Elements of a Compliance Program

Elements of a Compliance Program


Price: $275 members; $375 non-members

Member Online Enrollment | Non-Member Online Enrollment
This course is also available at discounted prices under an annual license.  Call or email for details.
Elements of a Compliance Program is one of 15 courses in the Online Courses for Compliance Professionals series.
The purpose of this course is to provide students with the fundamental elements that every bank’s compliance program should include, regardless of size or location of the bank. The course describes risk-based management approaches and the necessary elements of a successful program, which includes board and senior management oversight; defined, communicated, and enforced accountability; necessary policies and procedures; training strategies; internal and external monitoring and auditing requirements; and, examination management techniques.
Students will learn through a combination of instructor videos, exercises, readings, glossaries, self-assessments and more. Students will complete the course with a final exam to earn Certified Regulatory Compliance Manager (CRCM) credits.
Audience: Compliance professionals including compliance managers, officers, and other compliance team members whose primary role is within the compliance function at their financial institution; bank examiners, bank regulators, auditors and lending compliance professionals.
Learning Objectives: After completing this course, students will gain a fundamental understanding of Elements of a Compliance Program and learn how to:
  • Explain the key elements that form the foundation of a sound and effective compliance program
  • Identify ideas and examples of various ways each element can be integrated into compliance programs for banks of varying sizes, resources, geographies, and business activities
  • Describe how to document and present compliance programs to various constituencies such as senior management, the Board of Directors, or regulatory examiners
Your Instructor
Stuart J. Lehr
Head of Global Regulatory Compliance
Finacle Infosys Technologies Limited
Stu is responsible for monitoring the legislative and regulatory activity to facilitate Finacle’s technical solutions in support of client banks’ regulatory compliance programs. He has served on various ABA compliance committees and advisory boards. Stu is a compliance school faculty member.
The Nebraska Bankers Association is a Local ABA Training Provider.
For More Information Contact:

Joanne Smith
Education and Member Information Coordinator

Nebraska Bankers Association / 233 South 13th Street, Suite 700 / PO Box 80008 / Lincoln, NE 68501-0008