CCL have developed this program to meet the needs of today's Compliance Officer.

This certificate has been endorsed by the Chartered Institute for Securities & Investment (CISI) and provides attendees with the practical skills and knowledge required to carry out the Compliance function in-line with international best practice. The Certificate has been designed by Compliance Officers and former Regulators who between them have over 60 years of compliance experience.

The program uses a variety of teaching methods, including workshops, case studies, illustrative examples and participant interaction to help attendees quickly grasp and internalize new knowledge.

Intended for

The certificate program is ideal for all participants who seek understanding of the growing significance of regulation and the need for compliance, including:

  • Compliance professionals
  • Regulators
  • Legal, Audit, Risk, operations and IT specialists

Course Content

  • The Business & Compliance

    • Board and Senior Management buy-in
    • Corporate Governance
    • Ethics
    • Policies and Paperwork for sign-off
    • Establishing Terms of Reference for Compliance
    • Compliance Structure and Culture
    • Management of Regulatory Risk
    • The Regulatory expectations of Senior Management
    • The Compliance Manual
    • Registers, forms and staff declarations
    • Communication with customers (e.g. Financial Promotions)
    • Training & Competence
  • The Role of the Compliance Officer

    • The Roles & Responsibilities
    • The Compliance Function
    • Principal Tasks of the Compliance Officer
    • Key Skill requirements
    • The Scope of the Compliance Officers Job
    • Relationships with Management and other Stakeholders
    • Establishing a Compliance Culture
    • Regulatory risk and compliance monitoring
    • Preparing and managing Compliance reviews
    • Drafting Compliance
    • Relationship with Internal Audit
    • Anti-Money Laundering
  • Senior Management Responsibilities & Risk Management

    • Senior Management responsibility & reporting to the Board
    • Identifying and Assessing Risk
    • Types of Risk
    • The Interrelationship between Risks
    • The Mitigation and Management of Risk
    • Operational Risk
    • Risk Assessments for Capital Requirements
  • Market Manipulation

    • Market manipulation and misleading statements
    • Insider Dealing and Market Abuse
    • Employee’s Personal Account Dealing
  • The Wider Roles of Compliance & Compliance Trends

    • Appropriate Management and Internal Enforcement Processes
    • Criteria for Communication with regulators
    • Evidential Requirements
    • Avoiding Disaster by identifying and managing risks
    • Handling Regulatory Investigations
    • Breaches of Client Confidentiality
    • Negating problems in the Future
    • Principals and Risk Based Regulation
    • Senior Management Responsibility
    • Management of Conflicts of Interest
    • Treating Customers Fairly
Partnership for a Total Solution IT Governance and Optimizations Operations Portal & E-Commerce Enterprise Architecture Application Development Advisory Services & Enablement Business Process Performance Management Innovation Value Centers