Culture and Conduct Risk: How a Strong Culture of Compliance Can Mitigate Risk

Post

Organizational culture has a direct impact on the conduct of its employees which in turn impacts the success of the institution’s risk management activities. In this webinar, bankers will learn how to implement a strong culture from the top down and how not doing so can directly affect reputational risk, conduct risk, and employee retention. Culture and conduct risk are becoming an industry focus point. It is important to place focus on these areas, as regulators will assess the health of your organization’s culture as well as the level of conduct risk present in your institution.

Who Should Attend: Chief Compliance Officer, Compliance Officer, Chief Risk Officer, RQA Analyst

Learning Objectives

  • Explore how culture directly impacts success in:

Risk management
Growth & Profitability
Reputation
Employee retention

  • Learn about current regulatory guidance focused on culture and on misconduct risk 
  • Uncover why financial institutions are lacking in their cultural initiatives relative to the modern business world and learn how to take steps to improve culture at your organization

Speaker

Jessica Caballero
Regulatory Programs Director
Abrigo
Jessica Caballero, CERP, CRCM is a former OCC examiner with an expertise in enterprise wide risk management. As an examiner, she was responsible for examining all functional areas including asset quality, compliance, capital markets, and information technology for financial institutions of varying risk profiles and asset sizes. After her years as an examiner, she worked as a bank secrecy act officer at a small commercial bank. She then joined Compliance Alliance where she focused on assisting community banks with the implementation of Dodd-Frank. There she created risk assessments, policies, and assisted the overall implementation of comprehensive compliance management programs for community financial institutions. Jessica joined Abrigo in 2015 as a Risk Management Consultant. She has worked in various roles throughout the organization including roles influencing regulatory change management, corporate strategy and product development.

Webinar Fees

Pricing For Price Season Pass
Bank Member $195 $0
Bank Nonmember $249 $0
Affiliate Member $195 $0
Affiliate Nonmember $249 $0

Season Pass Members receive 4 individual logins to every webinar

Additional Info

Participants will earn 1.0 CPE credit

Field of Study: Specialized Knowledge

Prerequisites: None

Advanced Preparation: None

Program Level: Basic

Delivery Method: Group Internet Based

Refunds and Cancellations: Webinar registrations are non-refundable. If the registrant is unable to attend the designated time and date of the webinar, a playback link and any written materials will be provided within 2 business days following the conclusion of the webinar

Western Bankers Association is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:www.nasbaregistry.org.

Register

Click here to register online