Financial Sector Regulatory Compliance
Lift Compliance in Your Financial Institution to an International Level
Accredited by: LONDON INSTITUTE OF SKILLS DEVELOPMENT SIGNATURE PROGRAMME
Who should attend?
Managers and executives from financial sector organisations who wish to strengthen their compliance risk mitigation and want to effect a greater awareness of compliance within their organisation:
- Risk managers
- Decision makers in their organisation
- New compliance officers
- Internal auditors tasked with auditing the compliance function
- Legal department managers & Treasury staff
- Junior Managers, Fresh Graduates & Final Semester Students to acquire a promising career in a reputable organization.
| Course Code: | F/A.18 |
| Subject: | Finance |
| Course Fee: | £595 |
| Duration: | 3 Days |
| Venue: | London School of Economics UK |
Learning Objectives
By the end of the course you should be able to:
- Describe to role of the Chief Compliance Officer in regulatory compliance and risk management
- Review your financial institution’s existing processes and procedures and make recommendations for changes to bring them to international standards
- Establish policies and procedures for conflicts of interest management and application of internal controls
- Improve internal reporting to the Regulator, Board and Senior Management
- Identify, analyse and mitigate compliance risks
Course Content
Introduction to Regulatory Compliance and Compliance Risks
- Short quiz exploring participant’s existing knowledge
- Compliance as a concept – a vision of the essential part compliance plays in the financial services industry
- Characteristics of good and bad regulatory compliance regimes
How The Shift from Shareholder to Stakeholder Value is Driving Strategy and Decision-Making
- Value maximisation and stakeholder theory
- The drivers of shareholder and stakeholder value
- Linking decision-making to shareholder value – the long-term perspective
- Ethical dimensions of decision-making
Role and Influence of International Standard-Setting Bodies, and their Supranational Standards
- FATF (Financial Action Task Force)
- BIS (Bank for International Settlements)
- Financial Stability Board
- British Standard 8453 – Compliance Framework for Regulated Financial Service Firms • Central Banks / Regulators
Complying with External Regulations
- Typical regulatory compliance requirements of a financial institution
- Compliance risks; what are they and how can you mitigate them
- Structure and activities of the compliance function to achieve regulatory requirements
Internal Compliance
- The Chief Compliance officer – responsibilities, and attributes
- Mapping your compliance universe
- Developing a compliance culture in your organisation
Working with the Rest of the Internal and External Regulatory Compliance World
- Compliance, Internal Audit and Risk Management Functions – compared, contrasted and cooperation
- Operating entities
- Working and communicating with the regulator
- Reporting to the Board and Senior Management
LISD Workshop Special GROUP Package Highlights:
(prices applicable to a group of minimum 8 persons)
*Maximum 15 persons will be enrolled in each workshop
- 4 Days + 3 Nights Programme
- Programme Registration with the invoice
- 2 Scientific Knowledge-sharing sessions
- Certificate of Participation signed by the authorities
- 3 Night-accommodation in B&B (Double accommodation)
- 2 Networking Dinners
- 3 Lunches
- 3 Networking Tea/Coffee
- Airport Group-Pick & Drop Service
- City Crawl
- Group Excursion- Famous Tourist Attractions
Generic Schedule:
4 Days/ 3 Nights Programme
Day 1:
Hotel Group Pick-up Service from the nearest Airport to the Bed & Breakfast (Hotel)
Check-in: (between 2:00-4:00 pm)
City Crawl includes Takeaway Lunch and Coffee
(1st Night)
Day 2:
Interactive Learning Sessions: 9:00 am – 4:00 pm
Includes 2 Tea Breaks + Lunch
7:30 pm Networking Dinner
(2nd Night)
Day 3:
Interactive Learning Session/ Award Ceremony: 9:00 am- 1:00pm
Includes 1 Tea + Lunch
Excursion: 2:00-7:00 pm
Networking Dinner: 7:30 pm
(3rd Night)
Day 4:
Hotel Check-out at 10:00 a.m
Luggage can be Deposited in the Hotel
Free to Shop and Roam (independently)
Back to the Hotel at least 3.5 hours before the flight
Group Drop-off to the Airport
Register Per Person
| Workshop Venue | Full 4 Days + 3 Nights Workshop Package PER PERSON IN GROUP inclusive all taxes |  | Credit/Debit Card |
|---|---|---|---|
| University of Oxford, U.K | GBP 1350 | Register Now | Register Now |
| University of Cambridge, U.K | GBP 1350 | Register Now | Register Now |
| King’s College London, U.K (University of London) | GBP 1350 | Register Now | Register Now |
| University of Edinburgh, U.K | GBP 1350 | Register Now | Register Now |
| London Institute of SD – Learning Center | GBP 1145 | Register Now | Register Now |
| Baku, Azerbaijan | GBP | ||
| Istanbul, Turkey | GBP |