Workshop "Is the compliance department ready for the regulators visit"          Download Brochure

By the end of this course you will be able to:

.Know the readiness of the compliance department when it is inspected by the regulatory authorities.

Course Outline:

.The role of the Board of Directors and the Audit Committee

.Role of Executive Management

.Compliance approach within the bank/financial institution

.Relationship/communication between compliance management, executive management, and business divisions

.The relationship between Compliance and external parties

.Roles, Responsibilities and tasks performed by Compliance

.Risk indicators

Target Audience:

.Senior officials and employees of the Internal Audit and Compliance Department of the Bank/Financial Institution.

Prerequisites:

This course entitles you to attend:

Upon successful completion of this course, participants will obtain:

.Training attendance certificate.