About the course
The Gabelli School of Business Summer Compliance Institute offers a one week intensive training on the fundamentals of an effective Compliance Function within financial services firms, the evolving role and skill sets of the compliance officer, and the interconnectivity between compliance, risk, governance and other lines of defense. This year’s program will also offer particular emphasis on the development and advancement of effective compliance cultures as well as the technology, measurement, reporting, and escalation surrounding conduct and behavior at all levels within the organization.
This highly interactive program features engaging lectures by senior industry professionals, academics, current and former regulators from the Federal Reserve Bank of New York, FINRA, and the Department of Justice; participatory simulation and role playing exercises; and intensive case studies.
A certificate of completion is issued by Fordham to each participant after satisfactory completion of the Institute.
- Compliance Culture: What is it and Why is it so Important?
- Conduct Risk and regulatory expectations
- Behavioral, Cognitive, and Decision sciences in relation to Compliance and Conduct Risk
- Can you measure that? The role of metrics in assessing Compliance Culture
- The Evolving Regulatory Environment
- Big Data, Metrics and Artificial Intelligence applied to Compliance
- Risk Assessments
- Essential Skills for Compliance Officers
- Effective Development, implementation and management of end-to-end compliance programs
- Best practices for effective Compliance Training and Training Needs Analyses
- Designing Testing, Monitoring and Surveillance
- Alignment of Compliance, Risk and Governance
Because of COVID-19, many providers are cancelling or postponing in-person programs or providing online participation options.
We are happy to help you find a suitable online alternative.