Description
OVERVIEW
There is now, more than ever before, the need for a well-recognized, comprehensive and integrative compliance credential. Several institutions are facing an increased regulatory burden arising from the high pace of regulatory changes.
The regulatory compliance market requires a significant set of skills. Existing certifications simply do not offer significant depth in their programs to allow for sufficient knowledge to make the desired impact in the workplace.
The CCP certificate provides growth opportunities and will position the holder as a leader in the compliance community. It will also provide an edge in a very competitive job market.
Our CCP designation sends a clear message that you have the skill set necessary to practice your profession. Passing the examination will demonstrate your mastery of the subject and will help you excel in your current position and become more productive and valuable.
The program will enhance your current knowledge and demonstrate to your employer that you understand how to stay ahead in your career and how to take responsibility for your own professional development.
AGENDA
Introduction to Compliance & Global Regulations
- Overview of the Global Regulatory Environment
- What Is Compliance Management?
- What Is Compliance Management Framework?
- Compliance: What Regulators Want
- Models of Regulatory and Compliance Development
- ISO 19600:2014 Compliance Management Systems — Guidelines
- Using Regulatory and Compliance Toolkits
- Enterprise Wide Risk and Compliance Program.
- Who Is Responsible For Managing ERM/Compliance?
- What Are The Benefits of Its Introduction?
- Fostering a Culture of Accountability
- Conflict of Interest
- Conflict of Interest and Compliance.
The Regulatory Environment and the Role of Regulators
- Compliance Impacts the Entire Organisation
- Regulatory Drivers
- Four Priorities Drive Regulatory and Compliance Programs.
- Four Priorities Drive Regulatory and Compliance Programs.
- Regtech and Compliance Challenges
- Legal Due Diligence
- International Responses to the Problems of Money Laundering, Economic Crime, Cyber-Sabotage and Terrorism
- Role of Financial Institutions
- Non-Compliance and Its Implications
- Case Studies
Compliance and the Role of Corporate Governance
- What Is Governance?
- Guiding Principles of Corporate Governance
- The Corporate Constitution and Governance Structures
- Duties and Responsibilities of Directors
- Protection of Stakeholder Interests
Compliance and Business Ethics
- Introduction
- What Is Ethics?
- Ethics and Corporate Accountability: Sarbanes-Oxley
- Benefits of a Commitment to Sound Business Ethics
- Corporate Ethics Guidelines
- Compliance and Business Ethics Connection
- Rising Up To the Challenge of Ethics and Corporate Compliance Management
Developing a Corporate Compliance Program
- Introduction
- What Is A Corporate Compliance Program?
- Purpose of a Corporate Compliance Program
- Why Have a Corporate Compliance Program
- Considerations to Help Ensure Effectiveness of Compliance Program
- Monitor the Effectiveness of Your Compliance Program
- What Should A Compliance Monitoring Plan Look Like?
- Building an Effective Compliance Program
- Why Compliance Programs Fail
- How to Achieve a Robust Compliance Program
The Corporate Compliance Function
- Overview of the Compliance Function
- The Need for Compliance Functions
- The Three Lines of Defence and Segregation of Duties
- Management’s Commitment
- Reporting and Independence
- Organizational Position and Organization
- Authority, Information, Resources and Expertise
- Compliance Function Responsibilities
- Location of the Compliance Function
- Integration or Independence of the Compliance Function
- Integration or Independence of the Compliance Function
- Role of Internal Auditors.
- The Chief Compliance Officer
- Role of the Board of Directors.
Key issues in Compliance: Money Laundering
- What Is Money Laundering?
- Methods and Stages of Money Laundering?
- Terrorism Financing
- How Are Efforts To Combat Money Laundering And Financing Of Terrorism Linked?
- How Corruption and Money Laundering Are Linked
- What Is AML?
- Fundamentals of AML
- Right Tools for Anti-Money Laundering Compliance
- Why Is Customer Due Diligence Necessary?
- Elements of an Effective AML /CFT Compliance Program
WHO CAN BENEFIT
- Directors in both public and private sector
- Regulatory Compliance Professionals
- Auditors
- Attorneys
- Consultants
- Regulators
- Risk Managers
TRAINING METHODOLOGY:
A highly interactive format, where all delegates will be encouraged to engage and participate, share and gain from each other’s knowledge and experience. The lectures will rely on a bullet-based slide presentation enriched by group discussions around case studies, videos and checklists wherever applicable.
Through a multiple-instructional setting, the goal is to achieve the learning objectives by means of virtual technologies that match personal learning styles and by the inclusion of non-linear learning that aims at the development of just-in-time skills of adult learners.
At the same time and in order to allow participants maximum flexibility of scheduling, the learning will be conducted in an allochronic manner. Using a state-of-the-art training architecture, RMA will combine self-learning with assessments and online discussions.
The pedagogics – adapted explicitly to professionals in full-time work – will help train participants through several experiences: absorb (read); do (activity); intermingle (socialize); mirror (relate to one’s own reality).
DURATION: 3 days [ 5 Hours each day]
VENUE: Virtual or Onsite
DATE[TBC]: Send enquiry to: info@theriskacademy.org or call: 08021003297;07034248767;09071941111
