Conferences Job Descriptions

Best Compliance Conferences in 2021

As compliance professionals, we’re always under pressure to stay on top of regulatory changes, learning about emerging technologies, and expanding our knowledge. Besides networking with industry peers or and following blogs, a great way to stay up-to-date is to attend a compliance conference or two every year.

Whether you’re an in-house attorney, regulator, financial advisor, or anyone with the slightest relation to their ’s corporate compliance program – keep reading. 

In this article, we’ll list and review some of the best corporate compliance conferences to look forward to in 2021 (along with their pricing, venues, and dates).

Let’s get started.

What is a Compliance Conference?

A compliance conference is a social event that’s usually meant for professionals like corporate compliance officers, founders, general counsel, regulators, risk managers, etc. The goals of such a conference are to learn from leading experts, share insights, and network with industry peers.

Compliance conferences can be about anything, ranging from discussing anti-corruption programs in the modern world to examining how to overcome the challenges of cyber-security.

Hundreds of compliance conferences take place every year in the United States and beyond, where professionals get the opportunity for continuing education, expanding their network, and getting better at their jobs.

Top 7 Compliance Conferences to Look Forward to in 2021

The year 2021 has exciting events in stores for compliance enthusiasts.

Due to the Coronavirus pandemic, some of these will be held as virtual events, while others will be held as traditional face-to-face conferences.

With that out of the way, here are 7 corporate compliance conference that you should definitely consider attending:

1. CEFLI 2021 Compliance Fundamentals Training Conference

Date: May 6 – 7, 2021

Venue: The Union Station Hotel in Nashville, Tennessee

Price: TBA

Let’s start off with the basics.

The 2021 Compliance Fundamentals Training Conference (CFTC) presents a wonderful opportunity to young compliance professionals, seasonal professionals, and other individuals belonging to the life insurance industry to set strong foundations of compliance and/or revisit the fundamentals.

It’s being held by the “Compliance & Ethics Forum For Life Insurers” (or “CEFLI” for short) – a platform for the ethics and compliance professionals in the life insurance industry.

Companies looking to train their new compliance staff should definitely explore this conference.

The event will focus on the key risk areas and fundamentals of compliance, including anti-fraud, anti-corruption, form filing, and handling complaints, among other things.

Furthermore, attendees will get the opportunity to network and learn from the best.

The Compliance Fundamentals Training Conference was originally scheduled for May 2021, but due to unforeseen circumstances, it was rescheduled to 2021. 

Register here 


2. AMLFC 4th Anti-Money Laundering & Financial Crimes Conference

Date: April 21 – 23, 2021

Venue: JW Marriott Marquis Miami, Florida

Price: $549 (1 Day Conference: AMLFC Institute) and $1,459 (3 Day Combo: AMLFC Institute & ComplianceAid Conference)

The Anti-Money Laundering and Financial Crimes (AMLFC) institute offers certifications in Anti-Money Laundering (AML), Countering Financing Terrorism (CFT), and Financial Crimes Prevention to both graduate and undergraduate students.

Every year, the institute holds a compliance conference that attracts industry professionals from all over the world.

In 2021, AML and FC enthusiasts are in for a treat. The 4th Anti-Money Laundering & Financial Crimes Conference will discuss the latest trends and tips in executing AML/FCP/CFT procedures.

Attendees will get the chance to interact with regulators, and learn about country-specific AML/CFT issues, trends, regulations, and much more.

Additionally, attending the conference can earn you up to 18 CPEs recognized by NASBA.

You can find the complete agenda and other important details on the official event page.

Register here


3. HCCA 2021 Managed Compliance Conference

Date: February 1 -3, 2021

Venue: Virtual Conference

Price: TBA

Every year, the Health Compliance Association (HCCA) – an association with more than 12,000 members – arranges the Managed Compliance Conference. 

This event is focused on educating compliance professionals belonging to the health industry on the latest issues, trends, and developments.

Due to health and safety concerns related to COVID-19, the 2021 edition of the Managed Compliance Conference will be held online.

Regulators, auditors, and other industry experts will be invited to speak on topics (in the form of webinars), including, but not limited to:

  • Building and transforming a compliance program
  • Risk areas and enforcement trends
  • Medicaid fraud trends and reporting to regulators

This conference is perfect for compliance officers, data privacy officers, auditors, fraud examiners, and other relevant professionals belonging to the health industry.

As of now, the association hasn’t shared the agenda, pricing information, or the list of speakers. Keep an eye out for more details.

Learn more 


4. NRS Spring 2021 Compliance Conference

Date: May 17 – 21, 2021

Venue: Hyatt Regency Coconut Point Bonita Springs, Florida

Price: $1,495

The National Regulatory Services (NRS) is a leading provider of registration and compliance products targeted to financial institutions/wealth management companies.

Their Spring 2021 Compliance Conference is aimed at broker dealers, investment advisers, chief compliance officers, general counsels, and more, who want to learn about the latest trends in regulatory compliance.

Top-level industry experts, who know the secrets to navigating around the compliance challenges in the financial sector, will grace the event with their presence. Attendees will get the chance to learn with real case studies, expert insights, and discussions.

Additionally, exhibitors and sponsors will also get the opportunity to promote their products and services.

As of now, the NRS hasn’t disclosed the agenda and the list of speakers. But judging from the massive success of the last conference (held in 2019), it’s safe to assume that this event won’t be any different.



5. ABA Regulatory Compliance Conference

Date: June 13 – 16, 2021

Venue: Hyatt Regency San Diego, California

Price: TBA

The American Bankers Association (ABA) holds the Regulatory Compliance Conference every year.

This conference – targeted at compliance professionals in the banking sector – is aimed at discussing the latest compliance issues in the industry.

The Regulatory Compliance Conference is a 4-day event, where professionals from all over the country gather to soak in the latest compliance information through 50+ insightful sessions.

Right now, it’s still too early to share any further information about this conference. You can sign up to receive updates.

Learn more


6. 2021 FINRA Annual Conference

Date: May 18 – 20, 2021

Venue: Marriott Marquis Washington, DC

Price: Varies (shared below)

The Financial Industry Regulatory Authority (FINRA) prides itself as a rare, government-backed private firm that regulates broker-deals in the United States.

If you’re a compliance professional, especially one who’s related to brokerage services, you should definitely look forward to their annual conferences.

Their 2021 conference, which was on cyber-security, attracted compliance officers, IT professionals, business founders, and security officers from all over the US, who gathered to exchange insights, network, and learn from the best.

The agenda for the event scheduled for 2021 has not been disclosed yet, but industry peers should definitely anticipate a highly informative experience.

Here are the pricing details:

  • Individual Attendee – $,1,395 (FINRA member firm), $495 (FINRA member small firm), $995 (government/regulator), $1,695 (attorney), and $1,995 (non-member).
  • Group – $,1,180 (3 to 5 – FINRA member firm), $1,000 (6 or more – FINRA member firm), $370 (3 or more – FINRA member small firm), $1,440 (3 or more – attorney), and $1,690 (3 or more – non-member).

 Register here


7. COMPLY (The Compliance, Risk, and RegTech Conference)

Date: May 4 – 5, 2021

Venue: Tribeca 360 & Rooftop New York City, New York

Price: $1,495 (individual) and $1,295 (group rate – 3+)

If you want to learn about the most recent developments in the compliance, risk, and RegTech spheres, you can’t afford to miss out on COMPLY 2021.

Originally scheduled for 2021, the conference was rescheduled for the upcoming year. 

In addition to networking and in-person learning, COMPLY 2021 also offers different credit-earning opportunities for continuing education.

Conference attendees will include a diverse set of professionals, ranging from regulators to investors.

Industry leaders from companies like ABA, Deutsche Bank, and PerformLine, are invited to speak on topics such as risk management, compliance, and cutting-edge regulatory technology.

You can view the complete agenda, read through the FAQs, and register on COMPLY’s official website.

Register here

Wrapping it Up

With so many amazing events to look forward to, it’s safe to say that 2021 will be an exciting year for compliance professionals.

If you’ve never attended a compliance conference before, there’s no time like the present to give it a shot.

And remember – you can always speak to your employer about sponsoring your ticket, in case you can’t afford it from your own pocket. Good luck.

By Josh Fechter

Josh Fechter is a partner at Corporate Compliance HQ and has founded several companies in software and training.