Course Description

Course Overview:

This comprehensive course examines the complexity of issues encountered by compliance officers and managers due to the regulatory regime and dynamic business environment. Participants will learn best practices for legal and compliance roles, statutory requirements, and regulatory compliance.

Course Curriculum:

Day 1 – Legal, Regulatory & Compliance Fundamentals

• Understanding Risk, Statutory, Legal, and Regulatory Compliance

• Effective compliance: prudential compliance, objectives, integrity

• Managing compliance in a dynamic environment

• Regulators and Their Powers

• Regulatory rules, frameworks, and potential liabilities

• Understanding the Legal and Regulatory Environment

Day 2 – Compliance Structure, Risk, and Governance

• Industry Knowledge & Awareness

• Codes of corporate governance and regulatory principles

• Role of the Compliance Officer

• Compliance structure, key activities, risk-based monitoring

• Internal controls, risk management, and oversight

Day 3 – Risk Management & Legislation in Practice

• Risk Management for Compliance

• Designing effective risk management systems

• Key Risk Areas & Best Practices

• Financial crime, money laundering, cybercrime, bribery and corruption, data protection