Compliance risk management is not rocket science; rather it is about understanding the importance of compliance and creating a compliance culture.
The aim of our newly developed course is to simplify compliance risk management for those who are not compliance officers or risk managers. The course will assist you to draft a simple compliance policy, identify the relevant regulators and the legislation that applies to the business, create a regulatory universe, and apply risk rating in order to focus on monitoring the most important compliance risks.
Key topics
| 1. | Compliance Policy Statement |
| 2. | Regulatory Environment |
| 3. | Compliance Obligations/ Compliance Risk Identification |
| 4. | Compliance Risk Register/ Compliance Universe |
| 5. | Compliance Risk Assessment/ Risk Rating |
Course outcomes
After completion of this course you will be able to:
| ● | Draft a simple compliance policy statement |
| ● | Explain which regulators supervise the business and why |
| ● | Demonstrate understanding of compliance risk identification by listing the compliance obligations that apply to the business |
| ● | Demonstrate how to compile a basic compliance risk register |
| ● | Assess/rate the compliance risks in order to focus on the important ones |
Who should attend?
Financial advisors / business owners
FSCA CPD Hours
This course has been approved for 6 FSCA CPD hours.
Click here to enrol.
