- 09 Nov 2021 (13:00 - 16:00)
- 11 Nov 2021 (13:00 - 16:00)
- 16 Nov 2021 (13:00 - 16:00)
- 18 Nov 2021 (13:00 - 16:00)
New Delivery Method: All of our training courses are now available as Virtual Training Courses - perfect for remote working. Log in from anywhere to join a live training session with one of our expert trainers and have access to an ‘on demand’ recording for one month after the event.CCL...
New Delivery Method: All of our training courses are now available as Virtual Training Courses - perfect for remote working. Log in from anywhere to join a live training session with one of our expert trainers and have access to an ‘on demand’ recording for one month after the event.
CCL have developed this programme to meet the needs of today’s Compliance Officer. It will consider the role of ethics and the importance of setting the “tone from the top” before looking at how the Compliance function fits into the firm’s overall structure. Then there will be a thorough examination of the main areas the Compliance Officer needs to focus on, and the three key roles of advising, educating and monitoring.
This Certificate course has been endorsed by the Chartered Institute for Securities & Investment (CISI) and provides participants with the practical skills and knowledge required to carry out the Compliance function in line with international regulations and best practice.
The workshop style programme uses a variety of teaching methods, including relevant case studies, illustrative examples and participant interaction to help participants quickly grasp and internalise new knowledge. It has been designed by Compliance Officers and former Regulators who between them have over 50 years of Compliance experience.
Who is this for?
The certificate programme is ideal for all participants who seek understanding of the growing significance of regulation and the need for Compliance, including:
- Compliance professionals
- Legal, Audit, Risk, Operations and IT specialists
- What is Compliance?
- What is Compliance Risk?
- Why is it important?
- What are the activities of the Compliance Department?
- Corporate Governance
- The importance of strong Corporate Governance
- Key elements of a Corporate Governance regime
- Why do Ethics matter?
- Role of the Compliance Department in Corporate Governance & Ethics
- Effective Control Structures
- Essential elements of a robust organisational structure
- Risk management
- Management information
- Control functions – Compliance & Internal Audit
- Staff, agents & outsourcing
- Business continuity
- Overview of Conduct Rules
- Conflicts of Interest
- Definition & typology
- Corporate conflicts
- Personal conflicts
- Gifts & inducements
- Chinese Walls & other controls
- Market abuse and insider dealing
- Role of the Compliance Function
- Key attributes of a Compliance Officer
- Compliance advisory function
- Compliance training and education
- Compliance monitoring
- Compliance manuals and documentation
CCL Academy’s Virtual Training (VT) courses are designed to be every bit as engaging as our face-to-face courses. To achieve this our trainers utilise market-leading technology, and a range of training techniques, to ensure high levels of interaction with participants. Each live video tutorial includes the use of:
- Virtual ‘break-out’ rooms: participants are divided into virtual rooms, to facilitate small group discussion.
- Polling: multiple-choice questions, answered anonymously, allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to explore practical application of theoretical knowledge.
- Messaging: participants are able to submit questions, either to the whole group or privately to the trainer.
- Accompanying recording of the video tutorial - In addition to the live event, all video tutorials will be available ‘on demand’.
- Two free eLearning modules for all participants.
- On-going Q&A – Participants will have access to an ongoing Q&A facility allowing them to ask questions relating to the course.