REGULATORY COMPLIANCE – THE RISK-BASED APPROACH Workshop

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About JIFS

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RATIONALE:

Every organization faces a myriad of risks that can threaten its operations, reputation, and bottom line. A robust, effective compliance program can make the difference between companies that successfully navigate those risks, and those that become cautionary tales. In this workshop, participants will be introduced to key concepts relating to an effective regulatory compliance program and strategies for assessing risks and managing the compliance function. You will also learn the fundamental principles of effective compliance and the components of an effective compliance program.

GOAL:

To assist participants with the design and implementation of the risk-based approach in the area of regulatory compliance, taking into consideration the legal and regulatory framework of the financial industry. The goal of this course is to provide a thorough grounding in the identification and assessment of a wide range of risks that an entity might be exposed to in order to facilitate effective regulatory compliance and to communicate to the stakeholders the value.

LEARNING OUTCOMES:

Upon completion of this course, the student should be able to

  1. Explain what is meant by risk and compliance.
  2. Create a thorough risk profile for your organization.
  3. Tailor a comprehensive compliance program with features best suited to address your organization’s specific risk profile.
  4. Risk Assessment process
  5. Examine the importance of compliance in supporting the financial, reputational, and functional aspects.
  6. Identify the fundamental components of a compliance program
  7. Analyze the key roles and governance responsibilities of the Board of Directors, risk committees of the Board, executive and senior management.

MODE OF DELIVERY: VIRTUAL  

TOPICS:  

GENERAL RISK MANAGEMENT & COMPLIANCE

  1. Explain the rationale for compliance and managing risk.

INFLUENCE OF RISK ASSESSMENT ON POLICIES AND PROCEDURES

Basis for a risk based approach

Risk Assessment process methodology

Organization’s risk profile

BUILDING A STRONG COMPLIANCE CULTURE

The Goal of Compliance Culture: Integrating Compliance Throughout the Organization

“Tone at the Top” to “Compliance at the Core”

Role of the 3 lines of defense

Developments in the Field of Compliance

APPLICATION & CASE STUDY

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