Course Overview

This course is designed to offer compliance personnel and management key insights into current best practice and processes in compliance risk management. Course material covers compliance roles, such as risk mitigatory, and several different approaches to regulatory requirements. Participants will also discuss the necessary ingredients for an effective compliance department and outline the defining skills of a successful compliance officer. Delegates are also given the opportunity to benefit from shared experiences regarding compliance issues and attempts at fostering a culture of compliance within their own firms.

Training DurationTotal Training Hours : 30 Hours
Training Duration : 1 Week
Total Training Days : 5 Working Days
Training SchedulesWeekdays (Sunday to Thursday)
Regular Sessions : 6 Hrs Per day (9am to 2pm or 3.00pm to 9.00 pm)
Food & refreshments Included

WeekEnds (Friday & Saturday)
Fast Track Sessions: 8 Hours per day (9am to 5pm)
Food & refreshments Included
Certifications:1) Certificate from Laurels Training Institute, Attested by Knowledge & Human Development Authority (KHDA) government of Dubai, UAE

2) Certificate from American Institute of Professional Studies (AIPS) from USA (After 15 Days of course Completion which will couriered to the attendees office address)
Learning AidsYes
Course MaterialHard & Soft Copies of Study Material
Language of InstructionEnglish
Instructor HelplineYes
1. Email
2. Social Media (For Emergency requirements)
Registration Requirements1. Passport Copy
2. Curriculum Vitae
3. Passport size photographs
4. Course Fee
Mode of Payment:Cash / Cheque / Credit Card / Bank Transfer.
Eligibility Criteria
(Who should attend this training)

New Compliance Officers

Risk Managers

Control Function Managers

Legal Department Managers

Management Consultants

Equities Sales and Trading

Desk Operations Managers

Fixed Income Sales and Trading Desk Operations


Investment Banking

Administrative Officers


Financial decision makers in corporations

Course Benefits

1.Explain existing regulatory as well as supervisory mechanisms that ensure the creation of a deep, efficient, transparent and accountable financial sector

2.Demonstrate an effective understanding of the role of the compliance officer/manager in the firm

3.Identify the elements or characteristics of an effective risk management, compliance and governance framework in the financial institution

4.Evaluate the risk of internal and external systems of control in their institution

5.Design, implement and maintain an effective risk, compliance and governance structure.

6. Successfully structure and manage an effective compliance function

7.Recognize the immediate impact of an ineffective compliance program

8.Describe comprehensive loss of revenue, trust, and reputation resulting from a weak compliance environment

9.Recognize regulatory changes can quickly impact your organization and bottom line

10.Prepare for intense regulatory scrutiny and examinations

11.Implement lessons learned from multiple case studies that globally illustrate cultures of compliance and strong compliance departments
Course Contents / Outline

"* Setting the Stage: The Need for Compliance

* News Reviews: Compliance and Regulatory Cases

* Market and Business

* Approaches to Financial Services Regulation

* Case Study: Tear Down and Build up Exercise

* Creating the Rubric: Structure and Functions of an Effective Compliance Department

* Introduction to the Rubric: Structure and Functions of an Effective Compliance Department

 * Continuation of the Rubric: Structure and Functions of an Effective Compliance Department

* Matching the Rubric to Firm Culture

* The Makings of an Effective Compliance Department

* Understanding the Business to Understand How to Comply

* Risk Management and Compliance: a Partnership throughout the Firm

* Sample Risks Faced by Financial Services Firms: Business, environmental, compliance, regulatory, reputational, credit, market, investment, interest rate, maturity, counterparty, denominational, political, economic, social and financial risk

* Addressing Risk through Compliance Management

* Case Studies: Sample Cases of Insider Trading – Galleon Group

* Regulatory Framework - US and UK Financial Regulatory Regimes as Examples

* Capital Adequacy and Risk Limits

* Current Events/is it Working?

* Course summary and close

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