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An effective Compliance Monitoring Programme will be risk based and provide the company with assurances that the policies and procedures are being adhered to, identify any areas for remediation, report on findings and track remediation. This course will look at how you can establish and maintain an appropriate monitoring programme to meet regulatory obligations.
This course will be of most benefit to those working within compliance and audit who are responsible for the establishment and/or maintenance of a compliance monitoring programme, as well as being suitable for those new to monitoring.
In attending this course you will come to fully understand:
Sharon Alvarez is a Director of Resolve Partners Ltd. Prior to setting up Resolve Sharon was a Director of a large Guernsey fund administrator. She held the position of Group Head of Risk and Compliance with responsibility for Guernsey, London, Luxembourg and Jersey compliance, governance and risk management. She is a qualified accountant and Chartered Secretary. Sharon has over 30 years' experience of accounting, administration and compliance/governance including many years at board level on companies in multiple jurisdictions (including regulated General Partner boards). She has significant experience in leading licensed entities through complex and problematic situations including GP/Advisor divorce, mediation, regulatory issues and regulator onsite inspections including PRISM. Sharon enjoys all aspects of compliance, governance, company secretarial and risk management and since setting up Resolve has worked with clients from the fiduciary, fund, banking and insurance sectors.
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Take your career to the next level with higher education that works for you