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The Upside of Compliance

Your guide to navigating compliance with confidence.

Compliance isn’t just a requirement—it’s a strategic asset for smart financial institutions. 

The Upside of Compliance: Empowering Financial Institutions to Thrive is your go-to guide to building a compliance program that protects your financial institution while driving growth and success.

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Years of compliance experience packed into one helpful book

Not many people set out to have a career in compliance. And when you get there, there’s no one there to tell you how to take ownership of building or improving your institution’s compliance program. 

 

Now there is. With decades of experience in the financial services industry, Stephanie Lyon and Michael Berman have been in your shoes. They've faced the same challenges, and through trial and error have developed the knowledge and skills learned how to manage compliance effectively and efficiently – while using it as a tool to fuel innovation and drive better business decisions. 

 

In The Upside of Compliance, Stephanie and Michael share everything they wish they knew as they were starting and growing their compliance careers.  

 

Available now at Amazon.com >

Download a free excerpt

Get a free excerpt of The Upside of Compliance and discover:

  • How to build a robust compliance program that protects and propels your institution
  • Strategies to turn regulatory requirements into opportunities for growth
  • Insights from decades of financial services experience
Whether you're a new compliance officer or a seasoned executive, this book is your roadmap to compliance-driven success.

“The Upside of Compliance is an excellent, practical resource for taking a strategic approach to compliance. Whether you are a seasoned compliance officer or new to the heavily regulated world of banking, the authors provide a roadmap not just for navigating the complexities of compliance, but also for quantifying the benefits of a culture of compliance.”
Foreword by the Honorable Kathleen L. Kraninger

President and CEO of the Florida Bankers Association, Former Director of the Consumer Financial Protection Bureau

Who is this book for & what’s inside?

Whether you’re a new compliance officer navigating your first exam, a seasoned pro looking for fresh strategies or an executive or board member seeking to better understand the role of compliance, this book is for you.

Stephanie and Michael will help you turn compliance from an obstacle into an opportunity for growth and innovation. 

A roadmap for structuring a robust compliance program that keeps you prepared and protected 
A roadmap for structuring a robust compliance program that keeps you prepared and protected
Strategies to identify, assess, and mitigate compliance risks, helping you avoid costly pitfalls 
Strategies to identify, assess, and mitigate compliance risks, helping you avoid costly pitfalls
How effective compliance management can uncover and address operational inefficiencies, leading to streamlined operations and cost savings 
How effective compliance management can uncover and address operational inefficiencies, leading to streamlined operations and cost savings
The building blocks of a compliance management system (CMS)  
The building blocks of a compliance management system (CMS)
Action steps for identifying and remediating compliance issues 
Action steps for identifying and remediating compliance issues
Change management recommendations in times of regulatory uncertainty 
Change management recommendations in times of regulatory uncertainty
Advice for integrating compliance into your growth strategies, ensuring smooth expansion and avoiding regulatory setbacks 
Advice for integrating compliance into your growth strategies, ensuring smooth expansion and avoiding regulatory setbacks
Insights on leveraging compliance as a competitive advantage, helping you stay ahead of the curve 
Insights on leveraging compliance as a competitive advantage, helping you stay ahead of the curve
How to prioritize and allocate resources effectively to manage the most significant risks 
How to prioritize and allocate resources effectively to manage the most significant risks
Tips for making a convincing case for more compliance resources 
Tips for making a convincing case for more compliance resources
Guidance on building a strong compliance culture that enhances your institution’s reputation and consumer trust 
Guidance on building a strong compliance culture that enhances your institution’s reputation and consumer trust
Career advice for compliance professionals 
Career advice for compliance professionals
Best practices for policies, procedures, complaint management and more 
Best practices for policies, procedures, complaint management and more

Available now on Amazon.com

Don’t wait—turn compliance into your strategic advantage with The Upside of Compliance. 

Read it now and propel your institution forward with our compliance guide
Order the Book Now
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Get The Upside Series: Strategic Success for Financial Institutions (2 books)
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