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How the 4 Cs of compliance training protect financial institutions

Jeff Kelly | July 18, 2017

Financial institutions need to be aware of the regulatory requirements as much today as ever, despite President Trump’s recent executive order to review many of the regulations and legislation passed during the Obama administration. Regulatory fines and penalties against financial institutions for compliance violations are still commonplace.

To avoid the unwelcome consequences of penalties or litigation, financial institutions need to implement a comprehensive compliance program and training that covers all the laws and regulations that affect their business.

Four Cs of compliance training. A strong compliance program begins with an investment in the professional development and training of employees. Studies show such training results in employees who are efficient, are effective, and have high morale. Plus, they also remain in their jobs longer and advance within the company. Highly trained employees also provide high-level service and add to the...

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