Compliance Regulatory Professionals

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The Compliance Regulatory Professionals Training at Global Horizon provides participants with a comprehensive understanding of regulatory frameworks, compliance functions, and risk mitigation strategies. The course equips professionals with essential skills to develop effective compliance programs, establish risk-based monitoring systems, and foster a compliance-oriented culture within their organizations. Through real-world case studies, interactive discussions, and practical exercises, participants will gain the knowledge and confidence to manage compliance responsibilities effectively.

Course Objectives

• Understand the objectives and roles of regulation in various industries.
• Develop a strong foundation in compliance principles and risk management.
• Identify and mitigate compliance risks to prevent regulatory breaches.
• Establish and implement effective compliance monitoring programs.
• Navigate regulatory expectations and build strong relationships with regulators.
• Integrate compliance with corporate governance frameworks.
• Develop and maintain a compliance manual tailored to business needs.
• Combat financial crimes such as money laundering, fraud, and corruption.

Who Should Attend

• Compliance Officers and Managers
• Risk Managers and Internal Control Specialists
• Legal, Audit, and Regulatory Affairs Professionals
• Financial Crime Prevention Officers (AML, Fraud, and Sanctions Compliance)
• Senior Executives responsible for governance and compliance
• Business Owners and Entrepreneurs managing compliance risks

Course Outline

Day 1: The Regulatory Landscape & Compliance Fundamentals

• Overview of global and industry-specific regulatory environments.
• Objectives of financial services and corporate regulation.
• The role of regulators and compliance expectations.
• International compliance frameworks and ISO 19600 Compliance Management Systems.

Day 2: Compliance Functions & Corporate Governance

• Key roles in compliance: Board of Directors, Supervisors, and Auditors.
• Responsibilities of Compliance Officers and Risk Managers.
• Corporate governance and its relationship with compliance.
• Best practices for internal compliance training and policy implementation.

Day 3: Risk-Based Compliance & Internal Control Mechanisms

• Developing a risk-based approach to compliance management.
• Implementing internal controls and compliance policies.
• Identifying and mitigating regulatory risks.
• Compliance culture: fostering accountability and ethical business practices.

Day 4: Building an Effective Compliance Program

• Designing and implementing a compliance monitoring system.
• Developing internal policies, procedures, and compliance manuals.
• Establishing reporting structures for regulatory compliance.
• Managing regulatory relationships and adapting to legal changes.

Day 5: Financial Crime Prevention & Regulatory Compliance

• Understanding money laundering, fraud, and corruption risks.
• Implementing risk-based Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) strategies.
• Identifying and reporting suspicious activities.
• Insider trading, market abuse, and sanctions compliance.