Risk, Compliance and AMLBuilding an Effective Compliance Function
Many organisations appoint a compliance officer without giving real thought to the function's mandate, resourcing or standing within the business, and then treat the resulting weakness as a personal failing. This course addresses the design question. Delegates work through mandate and the authority a compliance function needs to be effective, including access to the board and the right to be heard before a decision rather than after it. Independence, reporting lines and the conflict created when compliance reports to the business it monitors are covered. Resourcing and the realistic scope for a small function follow. The relationship with legal, risk and internal audit is addressed, since overlap wastes effort. The course closes on measuring the function and on demonstrating its value beyond avoided penalties.
Course objectives
- Define a mandate and the authority the function requires
- Secure access to the board and a voice before decisions
- Structure reporting lines that protect independence
- Resource a function realistically and scope it to that resource
- Clarify the boundary with legal, risk and internal audit
- Measure the function's effectiveness
- Demonstrate value beyond penalties avoided
Who should attend
- Newly appointed heads of compliance
- Chief executives and chief operating officers designing control functions
- Human resources leaders shaping conduct and culture programmes
- Board risk and audit committee members overseeing compliance
- Compliance officers in growing or newly regulated businesses
Course outline
- 01A weakness of design treated as a personal failing
- 02Mandate and authority
- 03Access to the board
- 04Independence and reporting lines
- 05Conflict when compliance reports to the business
- 06Resourcing and realistic scope
- 07Boundaries with legal, risk and audit
- 08Measurement and demonstrating value
Scheduled sessions
| Dates | Venue | Format | Price | Register |
|---|---|---|---|---|
| 16 to 18 November 2026 | Durban, South Africa | Classroom | R14,950 per delegate | Register Now |
| 7 to 9 December 2026 | Gaborone, Botswana | Classroom | R14,950 per delegate | Register Now |
| 4 to 6 January 2027 | Online | Online | R6,500 per delegate | Register Now |
| 8 to 10 March 2027 | Maseru, Lesotho | Classroom | R14,950 per delegate | Register Now |