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AI for Compliance Officers – 6 Part Series

Build the AI governance program your regulators expect. In this six-part live workshop series, compliance professionals will gain the knowledge, tools, and practical frameworks needed to confidently govern AI, prepare for examinations, and lead AI compliance initiatives at their institution. Enrollment is limited to just 50 participants to ensure an interactive, collaborative learning experience. AI Is Changing Financial Institution Compliance. Are You Ready?
Upcoming

Beginner Friendly

DATE

Wednesday, September 30, 2026
Tuesday, October 20, 2026
Thursday, November 19, 2026
Friday, January 22, 2027
Monday, February 22, 2027
Monday, March 22, 2027

INSTRUCTOR

Carl Pry

FORMAT

Workshop

CREDIT TYPE

15 CRCM Credits

$1,995.00 or 20 Tokens

Includes: Live Access, 30 Days OnDemand Playback, Presenter Materials and Handouts

  • Artificial Intelligence (AI)
  • BSA
  • Compliance
  • CRA Compliance
  • Fraud
  • General Compliance
  • Information Technology/Security
  • Lending Compliance
  • Mortgage Lending
  • Risk Management/Legal
  • Technology/Security
  • Bank Legal Counsel
  • Bank Secrecy Act Officer/BSA Specialist
  • Board Member
  • Commercial Lender
  • Compliance Officer
  • Internal Auditor
  • Mortgage Lender
  • Privacy Officer/Information Security Professional
  • Risk Manager
  • Senior Management

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AI is already influencing how financial institutions detect fraud, monitor transactions, make lending decisions, manage vendors, communicate with customers, and perform everyday compliance work. For compliance and risk professionals, the challenge isn't simply understanding AI. It's also understanding how existing regulatory obligations, risk frameworks, and oversight responsibilities apply when AI enters the institution.

AI for Compliance Officers is a six-part live workshop series designed specifically for compliance officers and risk managers at financial institutions. Through instructor-led discussion, practical exercises and peer collaboration, participants will explore what AI means for compliance and build practical resources they can use to strengthen their institution's approach.

The series follows a deliberate compliance-first progression: foundational AI awareness and regulatory considerations → AI risk and governance → BSA/AML and financial crime → fair lending, UDAAP, and consumer protection → vendor AI risk and third-party oversight → examination readiness and compliance program design.

Each session also begins with a regulatory update and Q&A, helping participants stay current as AI guidance and expectations continue to evolve.


Throughout the series, participants will:

  • Develop a clearer understanding of AI risks and regulatory considerations for financial institutions
  • Assess AI risks, existing controls, and governance gaps
  • Apply AI concepts to BSA/AML and financial crime compliance workflows
  • Evaluate fair lending, UDAAP, consumer protection, and HMDA considerations associated with AI
  • Strengthen oversight of AI-enabled third-party vendors
  • Prepare for AI-related questions during regulatory examinations
  • Develop a practical AI compliance program roadmap
  • Receive regulatory updates throughout the cohort

As AI becomes more embedded in financial institution operations, compliance professionals need to be prepared for questions such as:

  • What AI tools are being used across the institution?
  • Who approved their use?
  • What governance and controls are in place?
  • How are employees trained?
  • How is AI embedded within third-party products identified and monitored?
  • How are AI-related risks, decisions, and oversight documented?

This workshop series helps compliance and risk professionals work through these questions in the context of real financial institution workflows. Participants engage in breakout discussions and applied exercises throughout the series and receive practical checklists, guides, worksheets, and other resources to help translate what they learn into action.

What's Included

  • Six live virtual workshops
  • Expert instruction and Q&A
  • Interactive breakout sessions and exercises
  • AI Governance Toolkit
  • Templates and compliance resources

Included Webinars

  • AI for Compliance Officers – Part 1 AI Fundamentals for Compliance Officers
  • AI for Compliance Officers – Part 2: AI Risk, Governance & Your Regulatory Obligations
  • AI for Compliance Officers – Part 3: AI in BSA/AML and Financial Crime Compliance
  • AI for Compliance Officers – Part 4: AI and Fair Lending, UDAAP, and Consumer Protection
  • AI for Compliance Officers – Part 5: Vendor AI Risk & Third-Party Oversight
  • AI for Compliance Officers – Part 6: Preparing for AI-Related Examinations & Building the AI Compliance Program

Series Details

AI for Compliance Officers – Part 1 AI Fundamentals for Compliance Officers

Full session details are coming soon. Reserve your seat to secure early access—more information will be shared prior to the event.

Build a regulatory-specific understanding of AI, how it is being used within financial institutions, and the questions compliance professionals should be prepared to address with leadership and examiners.

Participants will:

  • Build a working vocabulary around AI, machine learning, generative AI, model risk, and agentic AI
  • Explore how AI is already being used across financial institutions
  • Understand the distinction between AI that advises and AI that makes decisions
  • Review the evolving AI regulatory landscape
  • Discuss the types of AI-related questions examiners may ask
  • Begin identifying the foundational elements of an AI compliance program
  • Begin developing an inventory of AI tools used throughout their institution

AI for Compliance Officers – Part 2: AI Risk, Governance & Your Regulatory Obligations

Full session details are coming soon. Reserve your seat to secure early access—more information will be shared prior to the event.

Explore where AI can support BSA/AML and financial crime workflows and the compliance, oversight, and model risks that accompany its use.

Participants will:

  • Practice AI-assisted SAR narrative drafting using anonymized scenarios
  • Explore effective prompting and human-review requirements for SAR work
  • Examine AI-powered transaction monitoring and associated oversight considerations
  • Discuss model validation, tuning, thresholds, and false-negative risk
  • Consider AI use in customer due diligence, KYC, adverse media screening, and CTR support
  • Receive a BSA/AML AI prompt library and transaction monitoring documentation resources

AI for Compliance Officers – Part 3: AI in BSA/AML and Financial Crime Compliance

Full session details are coming soon. Reserve your seat to secure early access—more information will be shared prior to the event.

Explore where AI can support BSA/AML and financial crime workflows and the compliance, oversight, and model risks that accompany its use.

Participants will:

  • Practice AI-assisted SAR narrative drafting using anonymized scenarios
  • Explore effective prompting and human-review requirements for SAR work
  • Examine AI-powered transaction monitoring and associated oversight considerations
  • Discuss model validation, tuning, thresholds, and false-negative risk
  • Consider AI use in customer due diligence, KYC, adverse media screening, and CTR support
  • Receive a BSA/AML AI prompt library and transaction monitoring documentation resources

AI for Compliance Officers – Part 4: AI and Fair Lending, UDAAP, and Consumer Protection

Full session details are coming soon. Reserve your seat to secure early access—more information will be shared prior to the event.

Understand how AI-assisted decisions and customer interactions intersect with fair lending and consumer protection obligations.

Participants will:

  • Examine AI-related risks under ECOA and Regulation B
  • Explore adverse action and explainability considerations
  • Assess fair lending risks associated with AI-assisted decisions
  • Review HMDA data quality considerations
  • Explore UDAAP risks associated with AI-generated marketing and customer service
  • Consider AI's role in complaint management and CRA-related activities
  • Develop an approach to documenting oversight of AI-assisted lending decisions

AI for Compliance Officers – Part 5: Vendor AI Risk & Third-Party Oversight

Full session details are coming soon. Reserve your seat to secure early access—more information will be shared prior to the event.

Develop a practical approach to identifying, assessing, and monitoring AI risk within third-party relationships.

Participants will:

  • Identify AI embedded within vendor products and services
  • Evaluate vendor AI risk across key due diligence dimensions
  • Practice reviewing AI-related contract provisions
  • Apply a vendor AI risk-scoring methodology
  • Explore vendor risk tiering and ongoing monitoring
  • Develop an approach for vendors that cannot immediately be renegotiated

AI for Compliance Officers – Part 6: Preparing for AI-Related Examinations & Building the AI Compliance Program

Full session details are coming soon. Reserve your seat to secure early access—more information will be shared prior to the event.
Final learning objectives are being developed.This session will focus on key concepts, practical strategies, and real-world application relevant to the topic. Specific outcomes and takeaways will be shared as the agenda is finalized.

What You'll Learn

By the end of the six-part series, participants will be better prepared to:

  • Understand AI through a financial institution compliance and risk lens
  • Identify and assess AI-related risks
  • Participate effectively in AI governance conversations
  • Apply AI concepts to real compliance workflows
  • Strengthen BSA/AML and financial crime oversight
  • Evaluate fair lending, UDAAP, and consumer protection considerations
  • Assess and monitor third-party AI risk
  • Prepare for AI-related examination questions
  • Organize documentation that supports examination readiness
  • Develop a practical roadmap for strengthening their institution's AI compliance program

Who Should Attend

This workshop series is ideal for:

  • Chief Compliance Officers
  • Compliance Officers
  • BSA Officers
  • AML Officers
  • Fair Lending Officers
  • Enterprise Risk Managers
  • Operational Risk Leaders
  • Vendor Risk Managers
  • Internal Auditors
  • Compliance Analysts
  • Regulatory Affairs Professionals
  • Chief Risk Officers
  • Legal & Compliance Counsel
  • AI Governance Committee Members
  • Senior Management responsible for AI oversight
Carl Pry

Instructor Bio


Carl Pry is a Certified Regulatory Compliance Manager (CRCM) and Certified Risk Professional (CRP) who is a Senior Advisor for Asurity Advisors in Washington, DC. Through his more than 35-year working career, as well as through his experience as a banking attorney and officer, he has provided a variety of regulatory compliance and financial performance services to financial institutions and other clients throughout the country. He has written extensively regarding consumer and commercial compliance, tax, audit, and financial institution legal issues, and is a frequent contributor to and currently serves as the Chair of the Editorial Advisory Board for the ABA Bank Compliance magazine. He has spoken at scores of banking, compliance, and state bar associations, and has conducted training sessions for financial institutions across the country.


Continuing Education Credit Information

AI for Compliance Officers – 6 Part Series has been approved for 15 CRCM credits. This statement is not an endorsement of this program or its sponsor. Credits are redeemable for both Live and OnDemand viewing. For questions on certificates, please email support@oncourselearning.com. Certification holders must report these credits at https://aba.csod.com.

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