Introduction:

The purpose of this training program is to provide participants with the information and abilities required to comprehend and support regulatory compliance and corporate risk management. Additionally, to promote best practices and international standards that match with corporate and regulatory needs, and to deal with the rules, markets, goods, and transactions.

This is a thorough and extremely useful training program that will enable you to master compliance. It offers the abilities required to establish the proper relationships with your regulators, board of directors, and personnel at all levels of your firm.

The regulatory bodies that all businesses must construct and maintain strong systems and controls, develop effective compliance monitoring programs, and implement risk-based customer due diligence (CDD) processes are all covered in this training course. It gives you the finest methods for managing responsibly and successfully while adhering to all relevant rules and laws. As well as providing you with professional standards and internal corporate governance and risk management procedures, modern technologies may shield your company from compliance risk.

Objectives:

By the end of this training course, you will be able to:

• Understand the goals and functions of regulation

• Understand the duties of compliance 

• Develop a solid understanding of compliance principles

• Understand the idea of compliance and the measures taken to manage the risk associated with it

• Possess the knowledge and abilities necessary to approach compliance and its related functions with confidence Compliance and Corporate Governance: A Relationship

• Create compliance procedures to combat money laundering and corporate governance violations;

• Create the most effective approaches to support managers and reduce risk inside your company.

Training methodology:

The best practices for regulatory compliance will be briefly reviewed for participants in this training course. Case studies, group live teaching, the presentation and discussion of worked examples, play roles, group discussion, and interactive involvement are all included in the training process.

Organizational impact:

The organization will gain:

• improved assistance for the compliance team

• Choosing a compliance program's style and content that is suitable for your company

• Locating and evaluating in business terminology relevant regulatory requirements and dangers

• Determining the causes of potential noncompliance so that the compliance strategy may address them

• Greater relevance and dependability of regulatory body analysis

• More strategic thinking and performance-oriented thinking

• More efficiency in creating successful compliance programs

• Preparing the workforce for more responsibility

Personal impact:

By attending this training course, delegates will acquire the following benefits, skills and competencies:

• Understanding the complete regulatory environment

• Understand your regulator

• Actual adherence to the law

• The function of compliance's role

• Managing regulatory risk to your company's advantage

• recognizing the significance of compliance, risk, and governance

• Organizational risk culture, ethics, and integrity

• Risk management for financial crime

Target audience :

This training course,  is designed to deliver the knowledge and skills, providing details of the latest policies and procedures to:

• Managers or Compliance Officers and their Deputies

• Supervisors in charge of internal compliance controls

• Specialists in legal, audit, risk, operations, and IT

• Risk Managers

• Personnel doing risk-taking tasks

• Staff for internal and external audits

• Regulatory Officers

• Officers in AML

• Accountants

• Lawyers

• All employees who are employed in or seeking employment in the compliance sector

Outlines:

Day 1

The Role of Regulators in the Regulatory Environment

• A Summary of the Regulatory Landscape

• Regulatory Goals for Financial Services

• Intergovernmental Agreement

• The Function of Regulators

• What anticipate the regulators?

• Your Jurisdictional Setting

• The Ideal Approach to Regulatory Obligation

• Compliance Management Systems, ISO 19600

Day 2

Compliance Activities

• Compliance Framework

• The Board of Directors', Supervisors', Internal, and External Auditors', Roles

• Officer in Charge of Compliance's Duties

• Important Compliance Procedures and Activities

• Corporate Governance and Compliance

• Corporate Responsibility and the Prevention of Financial Crime

• Compliance Education

• Competing Interests

• Consistent Observance of Laws and Regulations

Day 3

Compliance and Risk Management

• Recognizing a Risk Management Strategy

• Developing a Risk Management Strategy

• Governance, Risk, and Compliance Definition

• Internal Controls: A Must

• Effectively Identify, Mitigate, and Control Risks

• Methods for Assessing Risk

• Why Compliance Culture Is Important

• Managing Important Relationships, Both Internally and Externally

Day 4

Creating a Successful Compliance Function

• Factors to Take into Account When Creating a Compliance System

• Creating a System for Internal Compliance

• Putting in Place and Sharing the Internal Compliance Arrangement

• Compliance Guide

• Policies and Procedures Establishment

• the development of a compliance monitoring program

• Independence Is Needed

• Keeping Records Compliance Reports

• Controlling the Regulators and Regulation Chang

Day 5

Managing the Risk of Financial Crimes and Money Laundering

• Recognizing Money Laundering Crimes

• Officer for Compliance and MLRO

• The Risk-based Approach to Terrorist Financing and Money Laundering

• Monitoring, Detection, and Reporting of Suspicious Activity

• Stopping Fraud

• Cronyism and Bribery

• Internal Trading

• Market Fraud

• The Impact of Sanctions on the Global Economy