An Intensive 5-day Training Course
Compliance Regulatory Professionals
Perform Better by Protecting the Firm from Compliance Risk
Course Introduction
This OXFORD Compliance Regulatory Professionals training course is designed to provide with the knowledge and skills needed to understand and support regulatory compliance and enterprise wide risk management. Also, to know how to deal with the rules, the markets, products and transactions, to promote best practices and international standards that align with business and regulatory requirements.
This is an intensive and highly practical training program qualifying you to become proficient in compliance. It provides the necessary skills to build right relation with your regulators, your board of directors and to deal with individuals at all levels of your organization.
This training course also covers several topics regarding the regulatory bodies for all firms to establish and maintain effective systems and controls, to develop effective compliance monitoring program and to build a risk based Customer Due Diligence (CDD) process. It provides you with the best techniques to manage effectively and responsibly in compliance with all applicable laws and regulations. As well the advanced tools to protect your business from compliance risk and supports you with professional standards and internal policies in corporate governance and risk management.
Objectives
By the end of this Compliance Regulatory Professionals training course, you will be able to:
- Understand the objectives & roles of regulation
- Understand the responsibilities of compliance
- Develop a good understanding of compliance principles
- Understand the concept of Compliance and the efforts being made to manage the risk related to it
- Have the skills required to approach compliance and its related functions with confidence
- Identify and understand compliance risks, and the consequences of noncompliance, to mitigate effectively the risk of compliance breaches
- Develop an appropriate Compliance Manual
- Create a compliance culture
- Protect the organization’s reputation
- The relationship between Compliance and Corporate Governance
- Develop compliance programs to fight money laundering practices, and to apply Corporate Governance rules
- Develop best strategies to help managers and prevent risk within your firm
Training Methodology
Participants to this training course will receive an overview of the best practices in regulatory compliance. The training methodology includes case studies, group live instruction, presentation and discussion of worked examples, play roles, group discussion and interactive participation is encouraged.
Organisational Impact
This Compliance Regulatory Professionals training course is of direct relevance to Certified Compliance Professional (CCP) and as a result the organizations will benefit greatly from their employee’s participation. The organization will gain from:
- More effective support for compliance team
- Selecting a format and content for compliance program that is appropriate for your business
- Identifying and analyzing applicable regulatory requirements and risks in business language
- Identifying causal factors that may lead to non-compliance to address these in the compliance plan
- Greater relevance and reliability of analyzing the regulatory bodies
- More strategic thinking and focus on performance
- More effective use of developing successful compliance program
- Preparation of staff for increased responsibility
Personal Impact
This Compliance Regulatory Professionals training course will be of personal benefit to delegates by providing you with:
- Understanding the complete regulatory environment
- Know your regulator
- Compliance in practice
- The role of the compliance function
- Managing regulatory risk for the benefit of your firm
- Understanding the importance of governance, risk and compliance
- Ethics, integrity and organizational risk culture
- Managing the risk of financial crime
Who Should Attend?
This Compliance Regulatory Professionals training course is designed to deliver the knowledge and skills, providing details of the latest policies and procedures to:
- Compliance Officers / Managers and their Deputies
- Managers with responsibility for internal compliance controls
- Legal, Audit, Risk, Operations and IT Specialists
- Risk Managers
- Staff working in risk functions
- Internal & External Audit Staff
- Regulatory Representatives
- AML Officers
- Accountants
- Lawyers
- All Staff working in or aspiring to work in the compliance area
Course Outline
Day One
The Regulatory Environment and the Role of Regulators
- An Overview of the Regulatory Environment
- The Objectives of Financial Services Regulation
- International Regulation
- The Role of the Regulators
- What do the Regulators expect?
- Your Jurisdiction Environment
- The Best Practice in Regulatory Obligation
- ISO 19600: Compliance Management Systems
Day Two
The Compliance Functions
- Compliance Structure
- The Role of the Board of Directors, the Supervisors, the Internal and External Auditors
- Responsibilities of the Compliance Officer
- Key Compliance Activities and Processes
- Compliance and Corporate Governance
- Corporate Governance and Financial Crime Prevention
- Compliance Training
- Conflicts of Interest
- Ongoing Compliance with Laws and Regulations
Day Three
Risk Management and Compliance Risk
- Understanding a Risk Management Approach
- Creating a Risk Management Approach
- The Definition of Governance, Risk and Compliance
- The Need for Internal Controls
- Identify, Mitigate and Control Risks Effectively
- Approaches to Risk Assessment
- The Importance of Compliance Culture
- Managing Key Relationships – external and internal
Day Four
Establishing an Effective Compliance Function
- Factors to be Considered in Designing a Compliance System
- Developing an Internal Compliance System
- Implementing and Communicating Internal Compliance Arrangement
- Compliance Manual
- Establishing Policies and Procedures
- Creating a Compliance Monitoring Programme
- The Need for Independence
- Record Keeping ƒ Compliance Reports
- Managing the Regulators and Change in Regulations
Day Five
Managing the Risk of Money Laundering and Financial Crimes
- Understanding Money Laundering Offences
- MLRO and Compliance Officer
- The Risk-based Approach to Money Laundering / Terrorist Financing
- Suspicious Activity Monitoring, Detection and Reporting
- Preventing Fraud
- Bribery and Corruption
- Insider Trading
- Market Abuse
- Sanctions and their Role in the Global Economy
Certificate
Oxford Management Centre Certificate will be provided to delegates who successfully completed the training course.
Accreditation
In association with
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FREQUENTLY ASKED QUESTIONS
To check on availability please call Registrar’s Office at +971 50 985 0174. If you have any questions or enquiries please feel free to contact us
- Telephone: +971 50 985 0174
- E-mail: [email protected]
Yes, we provide assistance in securing both hotel reservations & entry visa on all our international training venues, for delegates attending our training courses. For further information / assistance, please contact our Customer Service at:
- Telephone: +971 50 985 0174
- E-mail: [email protected]
Yes, Oxford Management Centre is accredited by the following professional bodies;
National Association of State Board of Accountancy (NASBA)
The Oxford Management Centre is registered with NASBA as a sponsor of Continuing Professional Education (CPE) on the National Registry of CPE Sponsors. NASBA have final authority on the acceptance of individual courses for CPE credit.
Yes, discounts are available. For further information please call +971 50 985 0174 or email, [email protected]
Note: Discounts are not applicable with any other special offer that may be available.
There are 2 easy ways to register:
- Online: Select the training course you want to register for, Click the “Book Your Place” button on the course page, complete the form and click submit.
- E-mail: Send your details to [email protected]
We request that all cancellations be made at least one week before the class start date. You may reschedule this class without any penalty. If not, a $250 fee will be charged for cancellations received less than one week before a class begins and for no-shows. Cancellation penalties and any fees incurred by Oxford Management Centre will be deducted from refunds.
For more information request, email [email protected] or call +971 50 985 0174.
The classroom training fees include course presentation, relevant materials, physical & digital documentation, lunch and refreshments served during entire training. Accommodation and transportation are not included in the training course fees.
While, online training fees cover the course presentation and digital documentation and relevant materials.
The Oxford Management Centre Certificate of Completion with corresponding CPE credits shall be awarded to delegates who has successfully completed the training course.
Payment must be received before the training course commences. You can make payment by bank draft, cash, credit card or wire transfer.
Note: If the payment is not received, Oxford Management Centre has the right to refuse admission.
Upon receipt of your registration form, we will send you the following by e-mail:
- Registration Confirmation
- Invoice/Receipt (where appropriate)
If you register online you will receive an e-mail within 24 hours confirming your registration.
