Gain insights into the practical application of compliance by considering the need for a risk-based approach, managing stakeholder behaviour, prudential compliance and the importance of maintaining financial crime compliance.
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Gain insights into the practical application of compliance by considering the need for a risk-based approach, managing stakeholder behaviour, prudential compliance and the importance of maintaining financial crime compliance.
Gain insights into the practical application of compliance by considering the need for a risk-based approach, managing stakeholder behaviour, prudential compliance and the importance of maintaining financial crime compliance.
Created by the subject matter experts within the International Compliance Association this certificate program highlights the value in adopting a risk-based approach to compliance and the process of risk management. It introduces you to the core elements of conduct risk, the importance of maintaining prudential compliance and the different financial crime risks faced by firms. You will also look at data protection, the impact of a global pandemic on compliance and understand the environmental, social and governance risks that firms must manage.
This course is suitable for professionals working in or aspiring to work in compliance, including internal and external audit staff, those working in risk functions, and regulatory representatives. Given the level of this qualification, it would be best suited to individuals who are early in their compliance career.
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What's inside
Learning objectives
- Upon completion of this course, participants should be able to:
- Outline the benefits of taking a risk-based approach to compliance
- Understand the core elements of conduct risk
- Appreciate the importance of prudential compliance
- Recognise the need for financial crime compliance
- Detail the importance of data protection
- Understand why managing change effectively is essential
- Explain what is meant by environmental, social and governance (esg) and consider the consequences for the compliance function
- Describe the implications of a global pandemic on compliance
- Upon completion of this course, participants should be able to:
- Outline the benefits of taking a risk-based approach to compliance
- Understand the core elements of conduct risk
- Appreciate the importance of prudential compliance
- Recognise the need for financial crime compliance
- Detail the importance of data protection
- Understand why managing change effectively is essential
- Explain what is meant by environmental, social and governance (esg) and consider the consequences for the compliance function
- Describe the implications of a global pandemic on compliance
Good to know
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Activities
Review the basics of financial crime compliance
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Review the basics of financial crime compliance to strengthen existing knowledge and refresh skills.
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Read articles and blog posts on financial crime compliance
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Take online courses or webinars on financial crime compliance
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Attend industry conferences and workshops on financial crime compliance
Read 'Compliance Risk Management' by Michael Rasmussen
Show steps
Read 'Compliance Risk Management' to gain insights from industry experts and strengthen understanding of compliance concepts.
Show steps
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Acquire a copy of 'Compliance Risk Management'
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Read the book and take notes
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Apply the concepts to real-world scenarios
Follow tutorials on risk management in compliance
Show steps
Follow tutorials on risk management in compliance to develop a deeper understanding of the concepts.
Browse courses on
Risk Management
Show steps
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Find tutorials on risk management in compliance
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Follow the steps outlined in the tutorials
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Practice applying the concepts to real-world scenarios
Five other activities
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Show all eight activities
Join a study group focusing on compliance
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Join a study group focusing on compliance to engage with other learners and reinforce understanding.
Browse courses on
Compliance
Show steps
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Find a study group focused on compliance
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Participate in discussions and share insights
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Work together on practice problems and case studies
Create a presentation on the importance of prudential compliance
Show steps
Create a presentation on the importance of prudential compliance to enhance understanding and communication skills.
Show steps
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Research the topic of prudential compliance
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Organize your thoughts and create an outline
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Develop slides and visuals
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Practice presenting
Practice applying the principles of data protection in compliance
Show steps
Practice applying the principles of data protection in compliance to enhance practical skills and knowledge.
Browse courses on
Data Protection
Show steps
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Identify scenarios involving data protection in compliance
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Analyze the scenarios and apply the relevant principles
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Develop solutions and recommendations
Attend a workshop on environmental, social, and governance (ESG) risks
Show steps
Attend a workshop on environmental, social, and governance (ESG) risks to stay updated on emerging trends and best practices.
Browse courses on
Sustainability
Show steps
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Identify relevant ESG risks workshops
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Register and attend the workshop
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Participate actively in discussions
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Follow up on key takeaways
Contribute to open-source compliance projects
Show steps
Contribute to open-source compliance projects to gain practical experience and demonstrate expertise.
Show steps
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Identify open-source compliance projects
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Review the project documentation
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Contribute code or documentation to the project
Review the basics of financial crime compliance
Show steps
Review the basics of financial crime compliance to strengthen existing knowledge and refresh skills.
Show steps
- Read articles and blog posts on financial crime compliance
- Take online courses or webinars on financial crime compliance
- Attend industry conferences and workshops on financial crime compliance
Read 'Compliance Risk Management' by Michael Rasmussen
Show steps
Read 'Compliance Risk Management' to gain insights from industry experts and strengthen understanding of compliance concepts.
Show steps
- Acquire a copy of 'Compliance Risk Management'
- Read the book and take notes
- Apply the concepts to real-world scenarios
Follow tutorials on risk management in compliance
Show steps
Follow tutorials on risk management in compliance to develop a deeper understanding of the concepts.
Browse courses on
Risk Management
Show steps
- Find tutorials on risk management in compliance
- Follow the steps outlined in the tutorials
- Practice applying the concepts to real-world scenarios
Join a study group focusing on compliance
Show steps
Join a study group focusing on compliance to engage with other learners and reinforce understanding.
Browse courses on
Compliance
Show steps
- Find a study group focused on compliance
- Participate in discussions and share insights
- Work together on practice problems and case studies
Create a presentation on the importance of prudential compliance
Show steps
Create a presentation on the importance of prudential compliance to enhance understanding and communication skills.
Show steps
- Research the topic of prudential compliance
- Organize your thoughts and create an outline
- Develop slides and visuals
- Practice presenting
Practice applying the principles of data protection in compliance
Show steps
Practice applying the principles of data protection in compliance to enhance practical skills and knowledge.
Browse courses on
Data Protection
Show steps
- Identify scenarios involving data protection in compliance
- Analyze the scenarios and apply the relevant principles
- Develop solutions and recommendations
Attend a workshop on environmental, social, and governance (ESG) risks
Show steps
Attend a workshop on environmental, social, and governance (ESG) risks to stay updated on emerging trends and best practices.
Browse courses on
Sustainability
Show steps
- Identify relevant ESG risks workshops
- Register and attend the workshop
- Participate actively in discussions
- Follow up on key takeaways
Contribute to open-source compliance projects
Show steps
Contribute to open-source compliance projects to gain practical experience and demonstrate expertise.
Show steps
- Identify open-source compliance projects
- Review the project documentation
- Contribute code or documentation to the project
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