For anyone new to or moving into compliance and those overseeing compliance managers who are new to compliance or anyone who wants to refresh and update their skills.
Compliance recruitment is tough so finding good people is a challenge especially for Fintech, smaller and newer firms who often need to use people who are new to Compliance and/or operating on a part time basis. In many firms, compliance managers often operate on their own or with limited support and are expected to show strategic capabilities, strong compliance disciplines and cover a huge range of tasks. This 6 hour interactive and practical workshop covers the key aspects of what it takes to be an effective compliance manager in today’s fast moving environments and allows delegates to step back, learn from other compliance managers and look at how they structure their work, deal with their executive team, report to the Board and handle regulators. For those of you moving into compliance, this will provide you with the foundational skills and disciplines you need to help you be effective. For those of you already in compliance, it can be an opportunity to reflect, learn and update.
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An in depth view on the role of and challenges facing a compliance manager. We’ll look at the expectations of the regulators and what that means for the business and the compliance manager. We’ll look at the three lines of defence model and discuss how best to engage the whole business in delivering compliance. We’ll look at how to do compliance monitoring and carry out the key tasks of the compliance manager including how to work with the regulators. We’ll also consider how to work with the Board and the Senior executive team, providing effective MI, challenging reporting and influencing strategy.
For all new compliance managers, those overseeing compliance managers, those compliance managers who have sole responsibility for the second line of defence activities in their business and for those looking to step into a compliance manager’s role.
Senior members of The Compliance Foundation team bringing practical experience of compliance challenges and how to meet themAbout Us
Discounts are available for group bookings. If you have five or more delegates who would like to attend this workshop, it may be more cost effective to run it in-house. To find out more about group discounts and in-house delivery, please contact us.