The knowledge and skills acquired via this Compliance Regulatory Professionals training course are intended to help participants better understand and support regulatory compliance and enterprise-wide risk management. Additionally, to promote best practices and international standards that match with corporate and regulatory needs, and to deal with the rules, markets, products, 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 individuals 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 develop risk-based customer due diligence (CDD) processes are all covered in this training course. It gives you the best 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 tools can shield your company from compliance risk.
Recognize the purposes and functions of regulation.
Become well-versed in compliance principles.
Recognize the idea of compliance and the initiatives being taken to manage the risk associated with it.
possess the abilities necessary to confidently approach compliance and its related functions
To effectively reduce the risk of compliance breaches, identify and comprehend compliance risks and the repercussions of noncompliance.
Create a suitable Compliance Manual
Establish a culture of compliance
safeguard the reputation of the business
Compliance and Corporate Governance: A Relationship
Create compliance initiatives to enforce corporate governance principles and combat money laundering practices.
Create the best ways for managing employees and reducing risk within your company.
Compliance Officers / Managers and their Deputies
Managers with responsibility for internal compliance controls
Regulatory Representatives
AML Officers
Accountants
Lawyers
Legal, Audit, Risk, Operations and IT Specialists
Risk Managers
Staff working in risk functions
Internal & External Audit Staff
A Summary of the Regulatory Landscape
The Goals of International Regulation for Financial Services
The Function of Regulators
What anticipate the regulators?
Your Jurisdictional Setting
The Ideal Approach to Regulatory Obligation
Compliance Management Systems, ISO 19600
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
Conflicts of Interest Ongoing Compliance with Laws and Regulations Compliance Training
Creating a Risk Management Approach Understanding Risk
Governance, Risk, and Compliance Definition
Internal Controls: A Must
Effective Risk Assessment Methods to Identify, Mitigate, and Control Risks
Managing Key Relationships - Internal and External
The Importance of Compliance Culture
Recognizing Money Laundering Crimes
MLRO and Compliance Officer
The Risk-based Approach to Terrorist Financing and Money Laundering
Monitoring, Detection, and Reporting of Suspicious Activity
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