ABOUT THE COURSE
Who should attend?
Managers and executives from financial sector organisations who wish to strengthen their compliance risk mitigation and want to effect a greater awareness of compliance within their organisation:
- Risk managers
- Decision makers in their organisation
- New compliance officers
- Internal auditors tasked with auditing the compliance function
- Legal department managers
- Treasury staff
By the end delegates will know how to:
- Describe the role of the Chief Compliance Officer in regulatory compliance and risk management
- Review your financial institution’s existing processes and procedures and make recommendations for changes to bring them to international standards
- Establish policies and procedures for conflicts of interest management and application of internal controls
- Improve internal reporting to the Regulator, Board and Senior Management
- Identify, analyse and mitigate compliance risks
