Compliance Regulatory Professionals

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
  • Preventing Fraud
  • Bribery and Corruption
  • Insider Trading
  • Market Abuse
  • Sanctions and their Role in the Global Economy

 

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