Our study guide for this certificate discusses the scope of compliance with regulator instructions according to the laws and regulations of various countries.
Certifying Body : GCI
Tutor : NULL
Syllabus Overview
Understanding the Regulatory Environment
Institutional Compliance and Governance Framework
Compliance in Practice
Risk-Based Approach in Compliance Examination
Reporting
General Details
Duration: 7 Sessions Total hours: 21 Hours
Understanding the Regulatory Environment
What is Regulatory Compliance Exactly?
The Scope of Regulatory Compliance Division
Understand your responsibilities
Institutional Compliance and Governance Framework
Organizational Structure
Business Intersection
Internal Audit
Risk Management
Legal Department
AML Division
Top Management and BOD
Compliance in Practice
Dealing with Regulators
Periodic Reporting
Compliance Monitoring
Compliance Policy
Modules of Compliance Examination, How to start?
Risk-Based Approach in Compliance Examination
Identify the Inherent risks
Analysis of Controls and Risk Mitigations
Calculate the residual Risk and determine the next testing date
Compliance Monitoring and Examination Process
Build Compliance Examinations System
Reporting
Preparing Compliance Reports
What to Include and what not
Regulatory Compliance Officers in the following industries
Banking Industry
Insurance and reinsurance Companies
Brokerage agencies
Leasing and Microfinance Companies
Lending Firms
Exchange Houses and Money Service Business
Workers in the supervisory authorities e.g:
Central Banks
Financial Sector Regulatory Authorities
Financial Intelligence Units FIUs
Related Ministries and government bodies
More
Workers at the (IT solution firms) who provide Regulatory Compliance Systems.
