Small Bank Compliance Certification

Risk management expert Dan Clark will provide you with the tools to master compliance at your small bank.

What You'll Learn

  • Foundations of a compliance management system
  • How models vary by financial institution size
  • Basics of enterprise risk management (ERM)
  • How to establish a robust and effective CRA complaint program
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Training Overview

Small banks, are you ready for a compliance check? Earn your certification before the next audit.

Smaller institutions have unique needs and restrictions. Regulators, external auditors, investors, and other stakeholders expect you to know and manage specialized and general risks. To accomplish these tasks, we are offering the Small Bank Compliance Certification program to give you the comprehensive knowledge to establish and improve your bank’s risk management processes. Five information-packed webinars will enable you to implement strong practices in your institution.

The prestigious certification will demonstrate your competence and commitment to your career.

Small Bank Compliance Certification

Session 1: Implementing A Successful Compliance Management System (CMS)

  • Foundations of a compliance management system
  • How to apply thought and tenacity to compliance management
  • Ideas for reporting
  • Internal and external review preparation

Session 2: Principles Of Data Risk Management

  • Principles of data risk management
  • Regulators’ expectations
  • Data warehouse risk management
  • Mitigating risk in data used for decision making

Session 3: Model Risk Management Basics

  • How models vary by financial institution size
  • Models for credit approval, product profitability, stress testing, and other functions
  • Causes of model risk
  • Fundamental processes to address risk

Session 4: Risk Governance And ERM Fundamentals

  • Basics of enterprise risk management (ERM)
  • How to establish a simple but effective ERM process
  • Strategies to constrain risk governance cost
  • Rightsizing the program for the size of your institution

Session 5: Establishing A Strong CRA Program

  • How to establish a robust and effective CRA complaint program
  • Strategies to strengthen your current programs
  • How to create an impactful community footprint
Recommended Audience
Who Should Attend?
  • Compliance officers
  • Internal auditors
  • External auditors
  • Quality assurance staff and management
  • Chief audit executives
  • Finance professionals
  • Operations managers
  • Chief executives
  • Executive directors
  • Board members
  • Senior management
  • Managers
  • In-house counsel
  • Risk management professionals
  • Operations officers and managers
What's included
Training includes
  • Small Bank Compliance Certification
  • All resources and training materials

Expert Presenter

Daniel A. Clark
  • Over 30 years of experience in the financial industry
  • Focused on risk management and internal audit for the last 19 years
  • Previously director of operations for internal audit at GE Capital
  • Industry public speaker
  • Wrote the book Dare to Be Different: An Auditors Personal Guide to Excellence