Overview
In today’s rapidly evolving financial landscape, regulatory compliance stands as a
cornerstone for the stability and integrity of the financial sector. As financial
institutions and designated non-financial institutions navigate the complexities of
regulatory requirements, a risk-based approach becomes increasingly indispensable.
How do you create and maintain a risk-based compliance approach when all the
risks are escalating at the same time? How do you manage in this VUCA (volatile,
uncertain, complex and ambiguous) environment?
The risk of non-compliance can threaten an organization’s 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.
Objectives
In this workshop, participants will be introduced to key concepts relating to an
effective regulatory compliance program and strategies for assessing risks in
managing a regulatory compliance framework. Participants will also learn the
fundamental principles of effective compliance and the design for establishing an
effective compliance program.
This workshop is designed 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.
It will 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 regulated sectors.
Learning Outcomes:
Upon completion of this workshop, participants should be able to:
1. Explain what is meant by risk and compliance.
2. Determine their organization’s compliance exposures
3. Create a risk profile for their organization.
4. Tailor a comprehensive compliance program with features best suited to
address organization’s specific risk profile.
5. Undertake a risk assessment process
6. Examine the importance of compliance in supporting the financial,
reputational, and functional aspects.
7. Identify the fundamental components of a compliance program
8. Analyze the key roles and governance responsibilities of the Board of
Directors, risk committees of the Board, executive and senior management.
Who will benefit?
 Compliance Officers
 Risk Officers
 Operations Personnel
 Legal Advisors
 Anyone responsible for ensuring regulatory compliance within
financial institutions and designated non-financial institutions.
TIME: 8:30am – 12:30pm