Compliance for Beginners

Date:

Jul 17, 2025

Register

Getting started in compliance can be a daunting endeavor. Where to even start? What are the laws, regulations, and guidance that apply financial services? Where can I find all this information to better help me do my job?

Agenda

Thursday, July 17th, 2025
11:00 am - 1:00 pm EST

The goal of this webinar is to define the “universe” of financial services law and help new compliance professionals – or even those looking to up their knowledge and get helpful information – so that you can succeed at your job.

We’ll provide many tips and tricks, including where to find all this information, as well as a primer on the regulatory world. Who are the players? Who regulates who? What are exams all about? We’ll address all these issues and more.

Topics
  • The industry regulatory structure – who regulates who?
  • Where are all these laws and regulations that impact the industry?
  • How do these laws and regulations (and guidance) become effective?
  • Monitoring the Federal Register and regulatory websites
  • What is authoritative and what is not?
  • Finding all this information – utilizing the online world to follow along (“change management”)
  • The various areas of compliance: deposits/operations, lending, privacy, AML/BSA, and others
  • What is the examination process all about? How best to succeed.
  • The basics of a Compliance Management System (CMS) – the keys to be credible
  • Helpful sites and resources to have all you need
Speaker(s)

Carl Pry is a Certified Regulatory Compliance Manager (CRCM) and Certified Risk Professional (CRP) who is a Senior Advisor for Asurity Advisors in Washington, DC. Through his more than 30-year working career, as well as through his experience as a banking attorney and officer, he has provided a variety of regulatory compliance and financial performance services to financial institutions and other clients throughout the country. He has written extensively regarding consumer and commercial compliance, tax, audit, and financial institution legal issues, and is a frequent contributor to and currently serves as the Chair of the Editorial Advisory Board for the ABA Bank Compliance magazine. He has spoken at scores of banking, compliance, and state bar associations, and has conducted training sessions for financial institutions across the country.

Additional Information

Who Should Attend?

This interactive session is ideal for anyone new to the area of compliance, whether in operations, lending, AML/BSA, or anywhere else. This information will also benefit professionals looking to fill in a few gaps, gain a more complete understanding of the regulatory structure, and get some good tips and tricks to ensure you have all the information you need.

Fees

$299.00 or 1 Token

Available Upgrades

  • 12 Months OnDemand Playback $120.00
  • 12 Months OnDemand Playback + Digital Download $150.00
  • Additional Live Access $125.00 per person
Association Contact

Elizabeth DeHaven
Education Manager
o: 317-387-9380 
d: 317-333-7169
edehaven@indiana.bank