Financial Services Risk Management, Compliance & Internal Audit Forum

As financial institutions continue to navigate a rapidly shifting risk environment, strong governance, adaptable controls, and forward-looking assurance are more important than ever. Join us for our Financial Services Risk Management, Compliance & Internal Audit Forum, where industry professionals will explore the evolving issues impacting banks and financial institutions across risk, compliance, technology, credit, and internal audit.

This forum will provide practical insights into today’s most pressing challenges, including liquidity risk, IT controls and artificial intelligence, Bank Secrecy Act considerations, cryptocurrency-related risks, complacency creep in credit, and proposed TPRM guidance. Each session is designed to help attendees better understand emerging expectations, identify potential gaps, and strengthen their institution’s approach to managing risk.

Learning Objectives

• Identify key liquidity risk considerations impacting financial institutions in the current rate and funding environment.
• Evaluate how IT controls, artificial intelligence, and technology-driven risks are shaping governance, compliance, and internal audit priorities.
• Recognize emerging Bank Secrecy Act compliance priorities and their potential impact on risk management and oversight practices.
• Understand how proposed TPRM guidance may affect vendor, fintech, and BaaS oversight practices.
• Assess warning signs of complacency creep in credit and identify strategies to maintain strong credit discipline.
• Explain how effective AI corporate governance frameworks support risk oversight, internal controls, and internal audit assurance.

Who Is This Forum Designed For?

This forum is designed for financial institution professionals who are responsible for managing risk, strengthening compliance programs, evaluating controls, and supporting sound governance across the organization. It is especially relevant for leaders and team members in risk management, compliance, internal audit, credit, finance, operations, information technology, and executive leadership who want to stay ahead of emerging regulatory, operational, and technology-driven challenges.

CPE Information

Continuing Education: Up to 4 hours of CPE credits (To earn the full 4.0 credits, participants must attend a minimum of 200 minutes and respond to a minimum of 12 polls)
Field of Study: Specialized Knowledge
Delivery Method: Group Internet Based
Program Level: Basic
Prerequisite: None
Advanced Preparation: None
Refund Policy: As this session is free of charge, no refunds will be issued.

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