The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit

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About This Course

This CLE program will provide guidance on the challenges facing compliance professionals. Separation of compliance and business supervision roles is becoming much more difficult. Join FINRA staff and industry practitioners as they discuss how their firms are defining the roles of supervisors and compliance personnel. The panelists discuss the three lines of defense and how their firms are applying the risk model.

After attending this session, you will be able to:

  • Compare and contrast the distinction between the first and second lines of defense.
  • Understand the challenges facing compliance professionals.
  • Implement effective practices related to a culture of compliance and conflicts of interest framework.

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