Course Overview

    This course is designed to equip participants with a comprehensive understanding of the role and responsibilities of a Compliance Officer. Through a blend of theoretical insights and practical guidance, attendees will gain:

    • A clear understanding of what is expected from a Compliance Officer and the rationale behind these expectations.
    • Practical strategies and tools to effectively fulfill compliance responsibilities within their organization.
    • In-depth knowledge of the Compliance Monitoring Plan and its critical role in maintaining regulatory standards.
    • An opportunity to assess and benchmark their current compliance knowledge and practices against industry standards.

    By the end of the course, participants will be better prepared to navigate the complexities of compliance management and contribute to a culture of integrity and accountability within their organizations.

    Date: Upcoming course dates in form dropdown.

    Time: 9:30 a.m. - 4:30 p.m. GMT

    Objectives

    Attendance on this course will enable you to: 

    • A sound knowledge of what is expected of a Compliance Officer and why; 
    • Practical ways to meet the expectations; 
    • An understanding of the importance of the Compliance Monitoring Plan; and 
    • An opportunity to benchmark your knowledge and current compliance arrangements. 

    Key Topics

    • Responsibilities of Senior Management for Compliance 
    • The Compliance Officer’s principal tasks & skill sets 
    • Getting the basics right 
    • The independence of the role 
    • Understanding and meeting expectations 
    • Embedding the compliance culture 
    • The Compliance Monitoring Programme (CMP)
    • Compliance Monitoring Methodology 
    • Think about opportunities for adding value 
    • Managing visits from the Regulator(s) 
    • Examples of what can go wrong: messages for the Compliance Officer

    Who Is This For?

    Anyone currently or considering becoming a Compliance Officer. 

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    in the US: +1 (212) 951-1030
    in the UK: +44 (0) 20 7042 0500

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