Course Details
Course Outline
5 days course
Introduction to Compliance
- Definition of a compliance management system
- Tailoring to Each Institution
- Compliance management system Components for Strategic Level
- Building an Effective Compliance Program
- Corporate governance
Tracking and Monitoring of Day to Day Operations
- Policies and Procedures
- Training
- Monitoring
- Consumer Complaint Response
- Legal and regulatory aspects of corporate governance and compliance
- Codes of and reports on corporate governance and compliance
- Application of governance rules and principles
Potential Legal Implications of the Failure in Compliance & Ethics,
responsibility and social culture
- Potential Legal Implications of the Failure in Compliance & Ethics, responsibility
- Regular ethics and compliance training programs
- Ethical Responsibilities in the Employer-Employee Relationship
- Ethical Workplace Conduct
The Roles and Responsibilities of Compliance Officers
- Implement and manage an effective legal compliance program.
- Develop and review company policies.
- Advise management on the company’s compliance with laws and regulations through detailed reports.
- Create and manage effective action plans in response to audit discoveries and compliance violations.
- Regularly audit company procedures, practices, and documents to identify possible weaknesses or risk.
- Assess company operations to determine compliance risk.
- Ensure all employees are educated on the latest regulations and processes.
- Resolve employee concerns about legal compliance.
Enforcement The corporate compliance program
- Enforcement The corporate compliance program at all levels within the company.
- The Corporate Compliance Programs and Internal Controls
- developing a code of conduct in the institution
- Practical applications and comprehensive review
