Compliance, Risk & Governance

In an age where financial crises recur, regulations are promulgated at increasing rates, fines and penalties continue to rise with corporate and individual accountability of officers, it is fundamental to understand correct governance and how to inculcate a culture of compliance and ethical conduct in financial services firms. 

This course enables an understanding of the major current compliance risks and topics, and the drivers and evolution of these risks over time. Participants will understand the core standards and regulatory expectations with regards to corporate governance, conduct and compliance and how these standards need to be operationalized in a corporate environment. Case studies from real life will be covered including management and mismanagement of compliance risks, flaws in processes and culture including the range of questionable/ unethical/ illegal behavioral spectrum. The architecture and processes necessary to continuously assess and mitigate compliance risks, detect, investigate and enforce standards and key principles, tools and techniques to continuously improve these processes will be addressed

Total Training Duration / CPD Hours : 13

Core FAA CPD : 13

Core SFA CPD : 13

Classroom Hours : 13

Online Hours : 3

In an evolving and increasingly complex banking and financial services environment, the requirements and demands for skilled compliance professionals have increased proportionately. It is imperative to have the knowledge and leadership to develop, drive and establish the organization compliance strategy aligned to firm strategy, programme and overall direction. 

“Seeing round the bends” is challenging. Given the rapidly changing regulatory, business and competitive landscape, constant review of business operating processes is required to meet new challenges brought about by the increasingly sophisticated nature of financial crimes, client behaviours, and new regulatory demands and expectations.  As financial services is global, borderless whereas rules, regulations and regulatory requirements are jurisdictional, an analysis, stakeholder management and decision making factoring multiple vectors is required. 

Taught by experienced industry practitioners, this module is designed to provide the understanding, framework, principles, tools and methodologies to derive and deliver the necessary compliance policies, procedures and best practices for a firm.

Total Training Duration / CPD Hours : 13

Classroom Hours : 13

Online Hours : 3

Financial Crime Compliance is a key area of focus for regulators worldwide. In recent years, there have been media spotlights on misconduct by financial institutions resulting in significant fines and penalties applied. Financial institutions cannot lose focus on the critical responsibility to detect, investigate, and report suspicious activity.  At the same time, institutions are being pushed to explore ways to deploy better technology to keep pace with fraudsters and money launderers. Having a clear understanding of the relevant regulations, key financial crime risks current and arising such as with virtual assets, use of data analytics and importance of clean data, applying network linked analysis across the industry, is essential for financial institutions to effectively adapt to the changing landscape. 

Total Training Duration / CPD Hours : 13

Classroom Hours : 13

Online Hours : 3

Compliance officers play a vital role in their respective organizations. That role has traditionally been to ensure that financial institutions operate with integrity and adhere to applicable laws, regulations, and internal policies. In recent years however, there has been a drive to expand the mandate and expectations of a compliance officer and to better balance its role as an advisor to the front line with its role of providing challenge and independent oversight. Challenge and control responsibility is supported by robust compliance monitoring, surveillance, and controls programs. This module aims to cover how to set up and operate effective and efficient monitoring, surveillance and control processes in the financial services industry, leveraging the use of technology. This course is designed for professionals with 3 years of relevant experience in a control function in financial services, such as risk, internal audit, legal, compliance advisory, monitoring and surveillance, compliance analytics, as well as external lawyers and auditors advising Financial Institutions.

Total Training Duration / CPD Hours : 13

Classroom Hours : 13

Online Hours : 3

Over the past decades, the importance of compliance within the financial industry has increased year over year and legal, compliance and regulatory functions saw respective growth in most organizations. This significance resulted in a relevant bottom-line impact for most financial institutions and therefore, the quest for efficiency increase in compliance has become key goal for many organizations. Today’s technologies are able to transform many traditional legal and compliance tasks but require the knowledge to understand technologies and select appropriate tools for distinct tasks.

This module aims to provide participants with the skills to critically assess different technologies for different compliance tasks, define respective business requirements, effectively project manage, drive and implement respective compliance and regulatory technology tools in an organization.

Total Training Duration / CPD Hours : 13

Classroom Hours : 13

Online Hours : 3