Risk, Compliance and AMLRegulatory Examinations and Supervisory Engagement
A supervisory examination is not an audit, and organisations that treat it as one produce defensive answers, lose credibility early and spend the following two years under closer attention. This course covers handling it well. Delegates work through what supervisors are actually assessing and how their risk based approach decides who gets examined, preparation including document requests and the state of the evidence, and the conduct of interviews and site visits. Managing the examination itself is covered, including how to answer a question you cannot answer. Findings, responses and remediation planning follow. The course closes on enforcement, on the relationship between examinations, and on the ongoing engagement that shapes how the next one begins.
Course objectives
- Explain what supervisors assess and how they select who to examine
- Prepare documentation and evidence ahead of a request
- Conduct interviews and site visits credibly
- Answer a question you cannot fully answer without losing credibility
- Respond to findings and build a remediation plan that holds
- Manage the escalation from finding to enforcement
- Maintain ongoing engagement between examinations
Who should attend
- Compliance officers and heads of compliance
- Executives who meet supervisors
- Internal auditors preparing for examinations
- Legal counsel supporting regulated entities
- Supervisory staff seeking the regulated view
Course outline
- 01An examination is not an audit
- 02What supervisors assess
- 03Risk based selection
- 04Preparation and document requests
- 05Interviews and site visits
- 06Answering under examination
- 07Findings, responses and remediation
- 08Enforcement and ongoing engagement
Scheduled sessions
| Dates | Venue | Format | Price | Register |
|---|---|---|---|---|
| 15 to 16 October 2026 | Online | Online | R6,500 per delegate | Register Now |
| 10 to 11 December 2026 | Accra, Ghana | Classroom | USD 795 per delegate | Register Now |
| 9 to 10 February 2027 | Windhoek, Namibia | Classroom | R11,950 per delegate | Register Now |
| 3 to 4 March 2027 | Durban, South Africa | Classroom | R11,950 per delegate | Register Now |
| 22 to 23 March 2027 | Dar es Salaam, Tanzania | Classroom | USD 795 per delegate | Register Now |