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Explore comprehensive framework to understand compliance, its functions, and the key local and international regulatory bodies. Gain Essential knowledge about the role of compliance management in developing policies, its relationship with other departments, and the responsibilities of the board of directors and senior management.
This program equips participants with essential knowledge about compliance, its organizational structure, and its relationship with other departments in financial institutions. It introduces both local and international regulatory policies, enabling participants to apply compliance effectively at the early stages of their careers.
Banking
Capital Market
Insurance
Financing
Compliance and Anti-Financial Crimes
Not Exist
Digital Training
Introduction
Objectives
Compliance Concept
Compliance Function
Importance of Compliance
Risks of Non-Compliance
Legislative and Regulatory Authorities
Regulations Applicable to Banks
Non-Banking Financial Institutions
Activity
Summary
Assessment
Introduction
Objectives
Organizational Structure of the Compliance Department
Role of the Compliance Department
Relationship of the Compliance Department with Other Departments in the Financial Institution
Compliance Policy
Board of Directors’ Responsibilities Regarding Compliance
Senior Management’s Responsibilities Toward Compliance
Responsibilities of the Compliance Department
Risk-Based Compliance
Examples of the Risk-Based Approach
Activity
Summary
Assessment
Introduction
Objectives
Role of the Compliance Function in Implementing Relevant Requirements
Establishing Proper Practices in Banking Operations
Role of the Compliance Department in Promoting Adherence to Proper Standards
Employee’s Role in Compliance
Activity
Summary
Assessment
Unit One: The Essence of Compliance
12
0
0
Unit Two: Compliance Management
14
0
Unit Three: Effective Compliance Management
9
0
Understanding the nature of compliance within organizations.
Familiarizing with the structure of the compliance management department and its relationship with other departments.
Enhancing skills for implementing effective compliance within institutions.
