EFFECTIVE COMPLIANCE MONITORING PROGRAMME 4 December 2015 It is a regulatory requirement for all firms to establish and maintain effective systems and controls. These controls ensure that firms are managed effectively and responsibly in compliance with applicable laws and regulations. A robust Compliance Monitoring Programme should support effective Corporate Governance and mitigate compliance risk. It is essential that monitoring programme is implemented effectively and that it produces accurate and timely data to measure programme performance. Compliance Alert have developed this workshop to meet the needs of senior managers and compliance professionals who requires a comprehensive analysis of the key elements of Compliance Monitoring Programme. This workshop programme provides a practical guide to assessing appropriateness and effectiveness for existing systems and controls. Who Should Attend? This course will be of considerable value to MLRO and Compliance Officers with at least 2 years relevant experience and who wish to enhance their understanding of the topic with a sound practical grounding. Course Details Roles and Responsibilities * Role of Senior Management * Dedicated Compliance Officer Scope of the Programme * Considerations – type of firm, products * Identify relevant rules, regulations and laws * Assign risk rating & frequency of review * Define objectives Compliance Testing * Approach * Areas to test, including: Corporate Governance Senior Management Arrangements Systems & Controls Authorised Individuals & employee suitability Conflicts of Interest Communications and marketing Client acceptance process Regulatory returns Dealing Rules Documentation & Record Keeping The Compliance Monitoring Programme Report Introduction Details of testing Summary of findings & recommendations Address previous issues Management review & sign-off Further Considerations Training & education Internal communication Responding to breaches Learning Outcomes After attending this session, attendees will: Understand the roles & responsibilities of senior management and the Compliance function in designing and implementing an effective Compliance Monitoring Programme Be aware of relevant regulations, considerations & risks that will affect the scope of the Programme Know which areas of the business need testing & how this testing should be conducted Understand the importance of record-keeping Be able to prepare a Compliance Monitoring Programme Report Delivery Methods Public Course If you only have a few staff who require a particular training course then why not send them on one of our public courses. Our training centres in Beirut (Lebanon), Amman (Jordan), Kuwait (Kuwait), and Doha (Qatar) is the perfect locations. We limit the number of attendees to 12 to ensure an interactive training environment. There’s always a chance to put your questions to a genuine expert, as well as to share experiences with other delegates. Bring In-House If you have a number of people who require training, you might find it more economical to have the training at your offices. Our trainers are armed with all the equipment and materials necessary. All you need to do is supply the room. In addition in-house courses can be tailored to meet the precise needs of your business. Tis could mean tailoring a course for a business unit; combining elements of different elements of different courses to match your exact specifications; or producing a course from scratch. Enquiries Please contact us at firstname.lastname@example.org and we'll get in touch to discuss your requirements in detail.