The idea of a 3 line defense system is not necessarily a new concept, but it is one that has begun to receive more emphasis. With our regulatory world changing and becoming increasingly complicated, a new formalized approach to the 3 lines of defense is helping many institutions stay on track and in compliance. This approach helps to establish responsibility and accountability throughout your processes.
This session will explore what the 3 lines of defense look like and how you can implement them in your institution.
- How can having a 3 lines of defense approach enhance my compliance program?
- What are the 3 lines of defense?
- What are the responsibilities of each line?
- What roles do the front line, compliance, and internal audit areas play?
- How should the three areas interact?
- How can I implement this approach in my institution?
- And much, much more . . .
Who Should Attend
This informative session is designed for Compliance Officers and Staff, Risk Managers and Staff, Retail Operations Managers and Staff, Operations Managers and Staff, Quality Control Managers and Staff, Branch Managers and Staff, Executive Management, and Internal Audit Managers and Staff.