Course Outline

The course will cover the following areas:

• Recent changes to the legal and regulatory environment
• Re-evaluating the role of the Compliance Officer
• Analysing the relationship between the Compliance Officer and senior management
• Compliance and effective corporate governance
• Risk mapping
• Motivating and promoting compliance internally
• The dangers of over-reliance on procedures solutions
• Recent disasters within the finance industry
• Forthcoming changes to the legal and regulatory environment and how to cope with them
• Case studies and group exercises

Course Objectives

This highly practical one-day workshop is designed to refresh and enhance the level of awareness of Compliance Officers and professionals.

Target Audience / Entry Requirements

The course is aimed at the following individuals across all finance industry sectors: Compliance Officers and Assistants, principal persons with responsibility for compliance and ML prevention.