Introduction:

This training program equips participants with the knowledge and skills to understand and support regulatory compliance and corporate risk management. It covers best practices, international standards, and practical approaches to managing rules, markets, goods, and transactions.

Participants will learn to establish effective relationships with regulators, boards, and staff, implement robust compliance systems, conduct risk-based customer due diligence (CDD), and apply professional standards and governance procedures. Modern tools and techniques for mitigating compliance risk are also included.

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.

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