Compliance Management Excellence and International Standards

Course objectives

• Design a compliance risk assessment methodology fit for a multi jurisdiction operation
• Build a policy and procedure management framework with clear ownership
• Establish compliance monitoring and testing programmes with defined coverage
• Apply a recognised compliance management standard to benchmark the function
• Report compliance performance and residual risk to executives and the board

Who should attend

• Chief compliance officers and compliance managers
• Regulatory affairs specialists
• Internal auditors reviewing compliance functions
• Legal counsel supporting compliance programmes
• Operational risk managers

Course outline

1. 01The compliance management standard landscape and its African application
2. 02Conducting a compliance risk assessment across business lines
3. 03Policy, procedure and training management
4. 04Monitoring, testing and issue management
5. 05Compliance metrics, dashboards and management information
6. 06Positioning compliance as a value adding function

Scheduled sessions