At ICBA Securities, we provide community bankers the tools to grow their investments.

Summary:
Banks conduct audits on an ongoing basis to monitor their bank’s internal controls and ensure adequacy and compliance with their bank’s policies and procedures. The audit scope should include an in-depth review of IT and information security controls and operating procedures that help protect the institution from losses.  
Description: 
Join us and learn about the areas of auditing business risks, technical environment auditing, auditing the human element, and overall governance. 
Learning Objectives: 
Gain proven in-action methods for auditing business risks. 
Build skills that will help you master auditing the technical environment. 
Practice winning strategies that account for the human element of auditing, plus overall governance. 
 

In today’s fast-paced banking environment, bankers balance multiple responsibilities while handling complex challenges. This session provides practical strategies to help you manage your day more effectively amid competing demands

You will explore a multi-functional perspective that includes banking knowledge, management skills, and business law principles. You’ll also learn how to function as an internal team trainer and foster collaboration and efficiency within your organization. Discussions will emphasize creating personal “economies of scale” through time management, negotiation, and planning.

Real-life scenarios will bring all these concepts to life, leaving you with models and insights that can be applied immediately.

Learning Objectives:

• Navigate the demands of a multi-task, multi-functional banking environment
• Integrate banking knowledge, management skills, and business law principles into daily practice
• Serve as an effective internal team trainer
• Leverage time management, negotiation, and personal planning techniques to create greater efficiency and personal “economies of scale”

Duration: 90 minutes

Recorded Oct. 2, 2026

The ICBA Compliance Institute is built to meet the needs of seasoned professionals seeking the latest regulatory education and industry best practices as well as newer compliance officers seeking to gain a clear understanding of the fundamental concepts of each regulation.

This high-quality program provides a fast-paced learning environment that will lead to a detailed study of the relevant areas of regulatory compliance with a focus on the key concepts that spell success in the examination context.

Each regulation is approached in terms of the requirements, best practice internal controls, and audit objectives. Learning is reinforced with many sample disclosures, applicability charts, and illustrative quizzes and exercises.

The program addresses current hot issues and areas of focus in regulatory compliance. Deep dives into the common challenges related to recent regulatory reform will be covered and the latest guidance and interpretations on all recent rule-making efforts will be discussed.

This solid foundation allows the attendee to return to their bank and support their product and service offerings and remain competitive in their marketplace.

To earn the Certified Community Bank Compliance Officer (CCBCO) certification, you will be required to attend this program in its entirety, complete all assignments, and achieve a passing score on the certification exams. If you decide to enroll in the certification testing after you register for the class, please contact an ICBA Education representative at 800-422-7285.

Learning Objectives:

• Understand the key elements of a bank’s compliance management program.
• Understand the fundamental and disclosure requirements of bank lending regulations including Reg Z, RESPA, HMDA, SAFE Act, Military Lending Regulations, Homeownership Counseling Act, and flood insurance compliance.
• Identify fair lending practices and data collection/reporting requirements as outlined in ECOA/Reg B, FCRA, CRA, HMDA, and Fair Housing Act.
• Outline the key privacy requirements banks must follow under Reg P including the Sections 13, 14, and 15 information-sharing exceptions.
• Associate deposit account disclosure requirements with the appropriate regulations including Reg CC, Reg DD, and Reg E
• Identify disclosure requirements and permissible activities under Right to Financial Privacy Act, Consumer Sales of Insurance, and Non-Deposit Investment Products.
• Understand the risk exposure and mitigation steps banks may take to manage UDAAP compliance for the bank.
• Recognize compliance risks and disclosure requirements in advertising and marketing activities by a bank.