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Gabelli School of Business Compliance Institute

Focus: Compliance Culture, Conduct, Behavior, and Metrics

The Gabelli School of Business Summer Compliance Institute offers a one week intensive training on the fundamentals of an effective Compliance Function within financial services firms, the evolving role and skill sets of the compliance officer, and the interconnectivity between compliance, risk, governance and other lines of defense.  This year’s program will also offer particular emphasis on the development and advancement of effective compliance cultures as well as the technology, measurement, reporting, and escalation surrounding conduct and behavior at all levels within the organization. 

This highly interactive program features engaging lectures by senior industry professionals, academics, current and former regulators from the Federal Reserve Bank of New York, FINRA, and the Department of Justice; participatory simulation and role playing exercises; and intensive case studies.

A certificate of completion is issued by Fordham University's Gabelli School of Business to each participant after satisfactory completion of the Institute.

Workshop dates

July 6 to 10, 2020

Curriculum overview

Topics include:

  • Compliance Culture: What is it and Why is it so Important?
  • Conduct Risk and regulatory expectations
  • Behavioral, Cognitive, and Decision sciences in relation to Compliance and Conduct Risk
  • Can you measure that? The role of metrics in assessing Compliance Culture
  • The Evolving Regulatory Environment
  • Big Data, Metrics and Artificial Intelligence applied to Compliance
  • Risk Assessments
  • Essential Skills for Compliance Officers
  • Effective Development, implementation and management of end-to-end compliance programs
  • Best practices for effective Compliance Training and Training Needs Analyses
  • Designing Testing, Monitoring and Surveillance
  • Alignment of Compliance, Risk and Governance

How to apply

The program is open to holders of a bachelor's degree in any field from both U.S. and non-U.S. universities.

Cost: $1,600 for Fordham University graduates; $2,000 for non-alumni

Tuition includes: Course materials and Lunch (Tuesday through Friday) during the program.

Questions?

Email gcooper7@fordham.edu