Risk, Compliance and Controls
Other Registration Options & Cancellation Policy
Tentative 2010 Course Agenda (PDF 29 KB)
This course qualifies for FINRA Institute at Wharton Certified Regulatory and Compliance Professional™ (CRCP™) credit for candidates who have taken courses prior to January 2007. Participants taking the course who are not CRCP Program candidates prior to January 2007 are not required to take the assessment exercise and will not earn CRCP credit.
Course Description
This course covers internal control systems and other techniques to resolve and mitigate financial, operational and strategic risks. Case studies and hypothetical risk situations lead participants through the design of compliance and control mechanisms.
After completing this course, you will be able to:
- Describe how risk management, controls, and compliance interact and work collectively to safeguard your organization
- Analyze the strategic, legal/regulatory, operational and human resource risks in your organization
- Apply strategies to manage, monitor and report risk
- Describe how to structure a compliance program
- Compare and contrast detective controls and preventive controls
- Develop an internal control system to manage the risk environment
- Identify and discuss industry risk management practices relating to employee supervision, branch examinations, board and senior management oversight, internal audit, new product reviews, surveillance and other areas
Only FINRA’s Annual Conference is open to the media. All other FINRA conferences, pre-conferences, classroom learning, compliance boot camps and FINRA Institute at Wharton are closed to the media.
