Course description
Our Regulatory Compliance Specialist (RCS) Certification teaches you how to manage the regulatory compliance business, compliance scope, compliance testing and examinations, and much more.
Our study guide for Regulatory Compliance course discusses the scope of compliance with regulator instructions according to the laws and regulations of various countries. It also discusses the compliance department’s relationship to other departments within an institution — like the legal department and the internal audit department — and how to handle large quantities of local and international regulations to determine compliance responsibility.
Lastly, our study guide discusses the compliance testing and examinations process and how it differs from an internal audit review while helping you implement a risk-based compliance approach and determine the inherited and residual risk of each regulation and how to report violations.
Upcoming start dates
Suitability - Who should attend?
Targeted Candidate
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.
Training Course Content
What does this Regulatory Compliance Course cover:
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
And Much More
Course delivery details
Candidates have two options to register in any of the GCI programs:
Option 1: Self-Study. Take the online proctored exams at home
GCI’s examination process is set to the highest standards. Our students gain access to our easy-to-navigate online portal, where they can download their certificate study guide (e-book) in their selected language. undertake the practice questions as much as needed.
Once the candidate is ready to sit the assessment, they can schedule their online proctored exam with a click of a button through their membership area and undertake the exam any time and anywhere. Our assessment platform is usually available 24/7.
Option 2: Instructor-led program by a GCI-accredited trainer or training centre.
GCI arrange a instructor-led programs for groups (5+ participants), whether virtually or in person (as available), by our authorised trainers and our accredited training centres around the globe.
Reach out to us today to see how we can advance your career / get your staff the practical training experience they are looking for.
This course is offered in the following languages:
- English
- Arabic
- Turkish
- French
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Expenses
The course fee is $499 USD and includes one-year membership.
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Global Compliance Institute
Global Compliance Institute (GCI) is an International Financial Crime Prevention and Compliance Training Institute. We help you build the practical skills you need to keep up with all the latest industry and technological developments in the ever-evolving compliance arena. We...