Creating a Culture of Compliance

Course Summary

Rules aren’t enough to ensure compliance with regulations.  This course provides a practical introduction to the steps that every regulated firm needs to take in order to create, build and sustain a culture of compliance.

This course will be of particular interest to directors, managers or compliance staff concerned with establishing or improving his or her firm’s compliance culture.

Topics

  • What do we mean by a culture of compliance?
  • Ethics and compliance
  • Why it’s important
  • The benefits
  • Recognising your firm’s culture
  • Risk assessing your firm
  • What factors influence culture
  • How employees learn
  • Practical steps for building a culture of compliance

Course Benefits

In attending this course delegates will:

  • Understand the importance of culture in achieving compliance
  • Be familiar with the main factors influencing culture
  • Be equipped with practical steps for building a culture of compliance and recognising where

Tutor Profile

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.

Course at a Glance

  • Next Start Dates: New dates TBA
  • CPD Points: 3
  • Course Cost: £195.00
  • Course Length: Half day (09:30-12:30)

There are no dates currently available for this course, If you would like to register your interest please complete the form below:

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