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Vendor Management: Essentials course (online)

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  • This course is provided by the Compliance Education Institute.

    Building, implementing and managing a compliant vendor management program is no easy task given the proliferation of regulations, rules and guidance, many of which overlap. And with increased regulatory scrutiny due to high profile breaches, financial institutions must have a solid understanding of the driving regulatory issues that surround vendor management, the key ideas required to build and implement a successful and compliant program, and the expectations of examiners and auditors. If you are tired of being told to "read guidance" then this course is a must.

    This course covers four key chapters from the full course for the nuts-and-bolts of vendor management. Included are the new requirements from FRB and OCC Guidance issued in 2013.

    The areas of study within this course include:

    • Regulations
    • Program Components 1: Due Diligence & Risk Rating
    • Program Components 2: Contract Review, Periodic Review, Policy
    • Exam and Audit Preparation

    Through these four chapters, you will have the option to quiz at the end of each for self-testing. This course is 120 minutes (approx.).

    Upon Completion: You receive a 1 year subscription to the Regulatory Vendor Program Manager Reference Guide and 1 year of telephone and email support for vendor management and GLBA 501(b) related issues.

    Who should take this course?

    Auditors, vendor program managers, vendor management committee, risk officers, compliance officers, CIOs, CFOs, COOs and those responsible for managing and supporting the vendor management program at their credit union.

    About the presenter: Compliance Education Institute LLC

    Mick Kless is the founder and CEO of RISC Associates, a regulatory compliance consultancy and compliance automation tools developer, and Compliance Education Institute, the training and education division of RISC. He is a recognized industry expert on vendor management and the creator of the Certified Regulatory Vendor Program Manager (CRVPM) course. Mick has spent more than 30 years in financial services, has focused on GLBA 501(b) issues since 2001 and has specialized in vendor management regulatory issues since 2004.

    For course access questions, email