How to Conduct a Compliance Risk Assessment

Date: Tuesday, May 25, 2021

Time: 11:00AM-12:00PM EST

A robust and comprehensive Compliance Risk Assessment process is an essential component of an effective Enterprise Compliance Management System. An effective risk assessment process helps the board and management address emerging risks at an early stage and allows them to proactively develop and implement appropriate strategies to mitigate the risks before the risks have an adverse effect on the bank’s condition or risk profile.

Please join us on Tuesday, May 25th from 11:00AM-12:00 PM EST for an in-depth webinar on the steps to build and conduct an effective compliance risk assessment.

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Upon completion of this course, learners will understand:

  • How to conduct a comprehensive compliance risk assessment
  • The connections between risk identification, risk governance framework, risk taxonomy, and scoring methodology
  • How risk inventory, risk assessment and risk profile are related
  • How to use aggregation methodology to produce risk profile across the organization.
  • How, and how often, compliance risk assessments are to be reported and used, how requests for exceptions to compliance risk assessments should be handled, and who is responsible for enforcing compliance



About the Presenter

Compliance Core’s CEO & Founder, Jacqueline Maduneme, has over 25 years of experience in risk, legal and regulatory compliance advising on strategic and operational initiatives, delivering on innovative compliance solutions and new technology capabilities in large-scale regulatory compliance projects, and managing complex transactions.

She is a CFA and CAIA charters holder, a CPA, and has earned JD and post-graduate law degrees.

As a securities Trading Company, compliance is of utmost importance and in our experience, the value of working with Compliance Core is immeasurable. They invest wholeheartedly in the process and strategize with clear vision that is operationally sound and effectively designed to reduce your risk to an acceptable level.

Clem M.

CEO, CGM Trading, LLC

Engaging the services of Compliance Core provides you with the benefit of their breadth of experience in tax, legal, regulatory risk and compliance issues. The Compliance Core team excels at providing creative and bespoke solutions to the increasing compliance and regulatory risk issues..

Nana Y.

Compliance Officer, Leading Global Bank

I am delighted to offer my enthusiastic support for Compliance Core, a technology-driven enterprise risk management system that keeps financial institutions on track for risk and compliance-related obligations.  

Denis A.

Florida regulator

Register for Free Webinar, May 25th