This course introduces the core requirements and foundational concepts relating to a financial services compliance program. The core requirements of a compliance program include: the designation of a compliance officer and compliance committee; implementation of written policies and procedures; conducting effective training and education; developing effective lines of communication; conducting internal testing; enforcing standards through well- publicized disciplinary guidelines; and responding promptly to detected problems with corrective action. The course will also address foundational concepts in contemporary compliance practice including the role and responsibilities of the compliance officer; the role of the compliance department within the organization; the importance of a compliance culture; the concept of tone from the top; and the importance of a strong culture of collaboration with internal stakeholders. Offered only in Fall 2020.

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