Want to simplify compliance risk management? – This course will help

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Compliance risk management is not rocket science; rather it is about understanding the importance of compliance and creating a compliance culture.

The aim of our newly developed course is to simplify compliance risk management for those who are not compliance officers or risk managers. The course will assist you to draft a simple compliance policy, identify the relevant regulators and the legislation that applies to the business, create a regulatory universe, and apply risk rating in order to focus on monitoring the most important compliance risks.

Key topics

1. Compliance Policy Statement
2. Regulatory Environment
3. Compliance Obligations/ Compliance Risk Identification
4. Compliance Risk Register/ Compliance Universe
5. Compliance Risk Assessment/ Risk Rating

Course outcomes

After completion of this course you will be able to:

Draft a simple compliance policy statement
Explain which regulators supervise the business and why
Demonstrate understanding of compliance risk identification by listing the compliance obligations that apply to the business
Demonstrate how to compile a basic compliance risk register
Assess/rate the compliance risks in order to focus on the important ones

Who should attend?

Financial advisors / business owners

FSCA CPD Hours

This course has been approved for 6 FSCA CPD hours.

Click here to enrol.