GAFM Certified Compliance Analyst

Overview

In recent years the role of compliance has rapidly evolved to become a critical, and often mandatory, organisational function. The role has a distinct responsibility to mitigate tangible risks, particularly in an environment of tightening regulatory controls and heightened enforcement activity, with punishments for financial crime becoming more frequent, sizable and subject to criminal, as well as civil liability.

This course ties international compliance requirements with recommended compliance frameworks designed to strengthen the compliance culture of the organisation. The course also takes an in-depth look into how to set and enhance a compliance culture in an organisation through policies, procedures and organisational relationships. It is this compliance culture that must filter into an organisation’s compliance programmes.

Risk identification and mitigation is essential to any organisation’s compliance framework. This course takes a deeper look at the common indicators of fraud and market misconduct, and ways to mitigate these risks within an organisation. With the current advancements in technology, a pertinent look at the risks of cybercrime, social media and electronic banking fraud will be included.

The facilitator will impart knowledge on how to develop and implement these compliance programmes which also includes Board reporting and other control functions (like audit). The importance of corporate governance in monitoring and implementing a compliance programme will give the participants an insight into the importance of senior management reporting and top-down approach in the implementation of the organisation’s compliance culture.

Who Should Attend

• Compliance Managers and Compliance Officers
• Anti-Money Laundering Officers and the Deputies
• Senior Management
• Directors
• Company Secretaries and Corporate Governance Officers

Benefits of Attending

• Learn essential compliance concepts and frameworks
• Understand the importance of compliance culture and implementation of compliance policies
• Acquire key concepts in order to mitigate fraud and other compliance risks
• Define the role of key players and corporate governance in implementing compliance frameworks
• Identify and discuss emerging compliance issues and trends

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