Course Overview
Master Compliance Professional™ is a unique, high level programme that will require significant contributions from its attendees. You will be expected to have a recognised existing compliance qualification in order to enroll.
Master Compliance Professional™ will differ from existing compliance programmes by being significantly more strategic in nature and interactive in structure. You will be expected to play a significant part in the group discussions and to contribute new and innovative insights from your own experience.
Over the Four days you will investigate the major issues in regional and international compliance. Unlike a traditional didactic training programme, the outline for the week is flexible to enable the speaker to focus the group’s time in the areas that will yield the best results for the entire group.
Who should attend?
This high level education programme is designed for senior compliance specialists and those with extensive compliance experience. In particular, established Compliance Officers, Heads of Compliance and Compliance Directors and Managers will find the programme extremely valuable.
Programme Overview:
During this Four-day course you will engage with and develop an understanding of some of the critical issues confronting the compliance professional in the contemporary organisation. You will have the opportunity for issue analysis and networking with some of the region’s most qualified compliance operatives, as you engage with the challenges of the programme.
This is an innovative programme that has been specifically designed to provide the appropriate environment for the professional development and industry acknowledgement of current practitioners of compliance.
Program Methodology:
This programme has been designed to be delivered in a highly interactive way, involving a mix of theory, interactive discussion and formal practical exercises. It will also involve presentations from regional organisations that have or are currently dealing with, the issues covered in the programme. It is also expected that all participants will contribute from their own experience and area of knowledge. This delivery method has been chosen to ensure that participants can maximise their skill development and experience sharing through peer interaction.
Programme Pre-requisites:
The course is designed for those who already possess a formal compliance qualification or a sound knowledge in the area and is an opportunity to extend their understanding across a range of compliance functions.
After Attending This Four Day Executive Programme, You Will Be Able To:
• Explore the latest advances in compliance best practice
• Benchmark your organisation against the best in the world
• Apply leading edge compliance systems to your own unique challenges
• Network with the cream of your peers from around the region
• Analyse your compliance universe and determine the appropriate response
• Draw on an unrivalled portfolio of professional tools, techniques and resources
Programme Outline:
During the four days of the programme you will take part in numerous issue led discussion sessions. The exact timings and emphasis given to each session will depend on the group requirements and interest.
At Master level, participants are expected to contribute significantly from their own experience giving rise to emerging and new issues that are not listed in this outline. As a minimum, discussions will focus around the following key themes:
Governance And Governance Structures
- The role of governance in achieving compliance success
- The relationship between governance and internal control
- Governance structures as part of your compliance framework
- Governance responses to differing regulatory models
The Regulatory Environment And The Role Of Regulators
- Regulatory drivers
- A variety of legal obligations and due diligence
Internal Control – The Foundation Of Successful Compliance
- Review current thinking on the role of internal control
- The relationship between internal control and compliance and its criticality for success
- Internal control and the audit function
- Internal control, a self-regulating tool for sustainability
Compliance And The Role Of Corporate Governance
- What is governance?
- The corporate constitution and governance structures
- Duties and responsibilities of directors
- Protection of stakeholder interests
Compliance In The Non-Banking Sector
- Compliance and the drive for best in class
- Operational risk (non-financial) and the drive toward integrated compliance.
- What the financial sector can learn from the industrial sector
The Basel II Accord And Compliance
- A global framework
- Basel II and the role of the regulator
- The compliance expectations for financial institutions under Basel II
- Financial sector response to the Basel Accord.
- Islamic banking and Basel II
Compliance Standards (Models) And Their Role
- European model for compliance
- A UK perspective
- The US legislative approach
- Global response to compliance models
Creating Best Practice
- Defining what is best practice for your organisation
- Developing an individual model for compliance
- A methodology to achieve best practice
Compliance And Sustainable Markets
- The role of the regulator in establishing sustainable markets
- The maintenance of market trust
- The need for partnership between the regulated and the regulator
Harmonisation or Convergence – A New Compliance Paradigm
- The regulatory challenge in the 21st century
- What is good for your market?
- Where does optimal compliance performance fit in this debate?
