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(4.6/ 5) 8 Reviews
This training program is to provide participants with knowledge and skills necessary to pass the Advanced Qualification Exam in Compliance, presented by the CMA and TFA. The exam is tailored for CMA-licensed compliance and AML officers. This program is designed to familiarize participants with the regulatory environment for financial services as well as local and international regulations, as well as to promote compliance & governance culture, understanding of risks, and shows how to establish an effective compliance function, in addition to identifying key skills in combating main financial crimes.
(4.6/ 5)
8 Learner Rating
This training program is to provide participants with knowledge and skills necessary to pass the Advanced Qualification Exam in Compliance, presented by the CMA and TFA. The exam is tailored for CMA-licensed compliance and AML officers. This program is designed to familiarize participants with the regulatory environment for financial services as well as local and international regulations, as well as to promote compliance & governance culture, understanding of risks, and shows how to establish an effective compliance function, in addition to identifying key skills in combating main financial crimes.
Capital Market
Compliance and Anti-Financial Crimes
Not Exist
Lecture
Case Studies +3
Lecture
Case Studies
Practical Implementation
Dialogue and Discussions
Exercises and assignments
Pre Assessment
Post Assessment
Compliance, AML, and CTF
Risk Management
Compliance, AML, and CTF
Risk Management
This provides you with the opportunity to select the available times that suit you best for participation in our program. These times represent slots during which we are ready to welcome you and provide assistance and guidance.
In Class Training-Online Training
Objectives of Financial Services Regulation
Overview on Regulation
Development of Financial Services Regulation
Client/Investor Protection
Definition of Capital Market
In Class Training-Online Training
The Role
International Regulatory Models
Overview of Current International Legislation
International Regulatory Organizations
KSA Regulators, Laws
In Class Training-Online Training
Activities and Responsibilities of Compliance Function
Different Types of Compliance Officer Activities
Risk Management
Key Relationship Management – Internal
The Role of Compliance Officer
Drafting Compliance Officer Job Description/ Employment Contract
In Class Training-Online Training
Factors to be Considered in Designing a Compliance System
Developing an Internal Compliance System
Supposed Regulatory Objectives
Defining the Roles and Responsibilities of Key Stakeholders
Designing an Internal Compliance System: Risk-Based Approach
Implementation and Communication of Internal Compliance Arrangements
Policies
Prevention of Financial Crimes
Market Abuse
Anti-money Laundering
Fraud
In Class Training-Online Training
Corporate Governance
Relationship between Compliance and Corporate Governance
Establishing an Effective Compliance Environment
Training
Ethics, Integrity
The Culture of Compliance – What is it? And why is it important?
Changing Perceptions: Compliance as a Business Empowerment Tool
In Class Training-Online Training
Gain knowledge and skills required to pass the Advanced Qualification Exam in Compliance.
Understand financial services regulatory environment and its objectives to make markets fair and transparent and mitigate legal risks.
Be familiar with the laws and regulations to be followed while performing the duties of his/her job.
Be familiar with the skills of compliance function, and how to draft compliance policies and procedures to establish an effective corporate compliance environment.
Deploy and apply a culture of compliance, conduct and governance to raise awareness.
Identify the risks of key financial crimes and develop an early alert plan to combat such risks and maintain market integrity.
