Compliance & Conduct Risk
"Compliance & Conduct Risk" Module is part of the "Certified Chief Risk Officer (C-CRO)" and the "Certified Operational Risk Officer (C-ORO)" training programs.
Description
In today’s regulatory environment, simply complying with laws is not enough. Conduct Risk refers to how an organization’s actions, decisions, and culture impact customers, market integrity, and the company’s reputation. The purpose of this seminar is to understand the shift from rules based to principles based compliance.
Target Audience
Banking officers, compliance officers, internal audit professionals, board members, sales directors, HR managers.
Upon completion of the seminar, participants will be able to.Interpret regulatory expectations beyond the letter of the law.Identify behaviors that could lead to reputational risk or fines.Design effective staff training and awareness programs.Embed conduct risk principles into strategic decision making.
About
Subject Areas
SECTION-A: Introduction to Compliance & Conduct Risk Mgt
Compliance Risk Management
Compliance Risk Management Components
Conduct Risk Management
Conduct Risk Management Principles
Compliance / Conduct Risk Examples
SECTION-B: Compliance Risk Mgt
Compliance Risk Management / Intro to Main Terms
Compliance Risk Management / Basic Regulations
Compliance Risk Assessment Key Components
The Governance-Risk-Compliance (GRC) Structure
Compliance Risk Management / Role of Compliance Function
The Risk Factor of Compliance
Future of Compliance
Strategic Integration
Conduct Risk / Compliance Declaration Practical Examples
SECTION-C: Conduct Risk Mgt
Conduct Risk / Definitions & Context
What Regulators Expect
Conduct Risk Framework
Conduct Risk / Sample Metrics & Analytics
Conduct Risk Framework Controls
Conduct Risk Implementation Process
Key Elements of Conduct Risk
Key Objectives for Financial Institutions
Conduct Risk / Code of Conduct Practical Examples
Supporting Material: ISO Standards related to Compliance
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Hours Live Online
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Skilled and Profesional Advisors
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Ambitious Training Attendes
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Years of Experience
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Trainings & Certificates
