Certified Compliance Specialist

In the era of rapid market change, banks and other financial institutions are not judged only by their quantitative metrics (performance indicators, returns, risk measures, etc.). Nowadays, the importance of the qualitative elements in a modern banking operation is perhaps of an equal or of a higher weight. The readiness and adaptability status for the growing regulatory guidelines and directives, on both local and international levels, are elements that build or destroy the fame and reputation of an institution.

These elements guarantee the protection of the bank and its stakeholders from money laundering, fraud, corruption, and other shady practices, cultivating a spirit of efficiency and responsibility for the design and selection of processes and resources.
These are the drivers for a successful and reputable operation.

This course will give you the benefit of following the latest trends and developments from the regulatory perspective, equip you with best practices knowledge from the international arena, and assist you in developing the skills to understand and mainly to implement a proper compliance plan for your organization.

About Compliance

What is compliance and how we use it within financial organizations. Some words on the background and the historical evolution of compliance initiatives.

• Compliance Programs
• Why do we Need Compliance?

International Regulatory Drivers and Controls
Explore international stakeholders of the compliance arena, and how their initiatives affect global best practices

• Financial Mathematics
• Market Forces
• EU Regulation and Practice
• USA Regulation and Practice

Corporate Governance Perspectives and the Regulatory Framework
Effects of forced applications from official regulatory guidelines and obligations. How corporations and financial institutions adapt towards those.

• Meaning
• Myths and Misconceptions
• Corporate Governance Perspectives
• Regulatory Framework for Corporate Governance

Ethics, Compliance and Governance Perspectives
Internal compliance compass is as important as supervising demands' authorities. How can you develop such an organizational wide roadmap?

• Ethics
• Compliance
• Governance

Developing a Corporate Compliance Program
Steps and actions for the creation of an efficient, yet flexible compliance program. What to focus on, and what to avoid.

• Tools
• The Four Pillars

Codes and Corporate Compliance Systems
Regional and International applications around successful compliance systems. Benefits organizations enjoy both monetary and non-monetary values.

Money Laundering
Money Laundering Insights; global trends and facts about growing Money Laundering cases around the globe.

• Compliance
• Due diligence
• Organizational behavior
• Rules
• AML

Certificate of achievement

• 10 hours of virtual meetings with the instructor
• 50 hours of self study including articles and presentations
• Full lifetime access to learning material
• Online Examination
• Certificate of achievement

Instructor:

L Burke Files
Due diligence, financial investigations, and board member and consultant to companies and funds.