Course Approach and Content
The course will focus on the application of the compliance through facilitated discussions,
sharing of experiences focusing on the key aspects, principles, standards relating to:
- Compliance Governance &Structures
- Compliance Roles & Responsibilities
- Resourcing and Competencies
- Compliance Processes and Activities
- Organisational Context and Culture
Course Outline
Module 1
- An introduction to compliance
- Key structural aspects of the compliance function
- Identification of key role-players
- An overview of the regulatory environment
- The regulatory environment
- The role of the regulators
- The impact on business
Module 2
- Why there is a need for compliance
- Duties & obligations of the compliance officer
- The compliance risk management framework
- Establishing policies and procedures
- Compliance training
- Compliance monitoring
Module 3
- The need for independence
- Conflicts of interest
- Record keeping
- Compliance reports
- Liaison with the regulators