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Managing Compliance Risks of Incentive Programs

With the CFPB and OCC findings of widespread abuse and fraud related to opening consumer accounts at a major financial institution in 2016, a sharp focus is being made on the sales incentive programs at financial institutions to determine not only if abuse and fraud occurred, but if an appropriate control environment exists to prevent it.

We Will Cover:

  • The rudiments of Sales Incentive Programs
  • Examples of various types of sales incentive programs
  • UDAAP, TISA, TILA and other compliance-related risks to consider in Sales Incentive Programs
  • The place of Complaints and Complaint Management Programs in managing Sales Incentive Programs
  • Recent enforcement actions
  • Policies, procedures, internal controls and best practices in managing the risks

Target Audience:

This webinar should be attended by senior and middle management personnel tasked with developing and overseeing sales incentive programs, compliance personnel, and customer-facing personnel who are incentivized by such programs.


  • Christopher Price
    • Christopher Price
    • Christopher brings 28 years of regulatory compliance experience to Capco clients as a member of Capco’s Regulatory Advisory Services (formerly Kirchman/Metavante/FIS Regulatory Advisory Services), providing advisory on general federal regulatory compliance, consumer protection, fair lending, financial crime and safety and soundness provisions; co-authoring topics in the industry-renown Big Orange Book Compliance Manual (now the Capco Banker’s Guide to Compliance); and assisting in development and oversight of Capco’s Quick Reference Guides. Chris is a former member of Capco Academy, where he developed and delivered training to financial institutions and Federal regulatory agencies, covering all areas of federal regulatory compliance and financial crime. Chris has been a featured speaker at conferences on various compliance topics and holds CAMS and AMLP certifications.

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