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Certificate in Strategic Governance, Risk Management & Compliance

LEORON Professional Development Institute
Course summary
5 days
3,090 - 4,770 USD excl. VAT
English
Full time
Professional Training
Next available date: 30/08/2020 - Riyadh
Course Dates
Riyadh
30/08/2020   (English)
4,770 USD
Dubai
13/09/2020   (English)
4,770 USD
13/12/2020   (English)
4,770 USD
Abu Dhabi
04/10/2020   (English)
4,770 USD

Course Description

This five-day, advanced course will give participants a detailed overview of the strategic role and intersections of Governance, Risk & Compliance for organisations in today’s rapidly evolving business environment. The program will provide a detailed look and analysis of global changes to both prudential and conduct regulation and how you need to work to develop robust compliance practices and procedures within your organisation, looking at best practice to identify, analyse, and resolve current issues whilst building a dynamic future system.

The content is designed to provide a blueprint for senior compliance leaders and practitioners, who will already have a detailed understanding of core compliance
principles and broader trends across regulatory areas. We will analyse and assess the benefits of using advanced technology in Governance, Risk & Compliance environments, and the essential human elements required for appropriate planning
and execution.

Suitability - Who should attend?

This training course has been designed for:
→ Chief Compliance Officers
→ Money Laundering Reporting Officers
→ Directors of Compliance
→ Global/Country Heads of Compliance/Risk
→ Compliance Managers and other senior
GRC staff
→ Financial Crime compliance staff
→ Legal Practitioners
→ Senior Regulatory Representatives
→ Company Directors/Board Members

Outcome / Qualification etc.

Key Takeaways

  1. Learn how to design, develop, and build a leading and effective governance, risk & compliance (GRC) framework, with appropriate policies, procedures, and resources in place
  2. Analyse core elements of a strategic risk management approach, as well as the
    various intersections between Governance, Risk, Compliance, and the Three
    Lines of Defence (3LOD)
  3. Assess global regional, andlocal trends across GRC, including drives towards Sustainability, development of RegTech, RiskTech and DataTech, and increased
    scrutiny of Audit practices
  4. Build skills to demonstrate core GRC leadership and enable business growth
  5. Implement effective, efficient and strategic GRC processes

Training Course Content

MODULE 1: Corporate Governance
→ What is Corporate Governance?
→ 10 principles of good governance
1. Leadership
2. Independence
3. Composition and diversity
4. Constructive challenge
5. Quality of decision making and
judgements
6. Checks and balances
7. Whistleblowing
8. Remuneration and reward
9. Evaluation, reporting and accountability
10. External engagement
→ Benefits of good governance
MODULE 2: Governance & Conduct
→ Core regulatory objectives aligned to
Corporate Governance regimes
→ Pillars of Corporate Governance
→ Global Corporate Governance guidelines;
→ UK Corporate Governance Code
→ Leadership
→ Effectiveness
→ Accountability
→ Remuneration
→ Relations with Shareholders
• King IV
• BIS (BCBS) Corporate Governance
Principles
• Wates Code for Private Companies
→ Why does Governance Matter?
→ Compliance Culture
→ Ethics in Business
• Banking & Finance Royal Commission
→ Compliance & Conduct
→ Conduct Risks & Conduct Costs (CCP)
→ Risk Culture
→ Behavioural science and the human
factor leading to ‘conduct’ regulation and
accountability regimes
→ Cultural indicators and the cognitive
challenge of dynamic risk taking
→ ‘Drivers’ of conduct risk
→ Existence of inherent regulatory problems

MODULE 3: Strategic Compliance
& Risk Management
→ Building ethical business practice and
ethical business regulation

The organisational approach to
Compliance:
• Leadership
• Values
• Ethical Practice Code
• Policies
• Procedures
→ Frameworks that support ethical business
practice:
• Context
• Localised Culture
• Sector
• Jurisdictional regulatory
• Political
• Economic & financial climate
• Institutional
• Situational context
• Understanding and use of advanced
technology solutions, including
Regulatory Technology (RegTech)

MODULE 4: Cultivating GRC
Leadership
→ Characteristics of effective leaders
→ Building a strong GRC leadership function
for your firm
→ Leading change
→ Leading others
→ Use of available Standards (ISO19600
and ISO37001) for improved compliance
leadership
→ Engagement with other business units
→ Relations with external parties
→ Compliance best practice and provision of
advice
→ Risk culture
→ Team management, deliverables, and
performance
• Communication Skills
• Leading to influence
• Negotiation tactics
• Team management and assessment
• Time management
• Operational management
• Objection handling
• Questioning for benefit
• The art of listening
• Commercial acumen
• Chairing and running a committee
• The art of breaking a piece of bad news
• Succession planning
• Operational and strategic management

→ Five elements that develop maturity
1. Ethics
2. Culture
3. Good governance
4. Sustainable outcomes and community
5. Place, purpose, meaning

MODULE 5: Development of
Financial Crime Compliance
→ Understanding Financial Crime
• Money Laundering
→ Building an institutional KYC Framework
→ Enhanced Due Diligence
• Trade Based Money Laundering
• Terrorist Financing
• Targeted Financial Sanctions
• CyberCrime & CryptoLaundering
• New Technologies and New Payment
Methods (NPM’s)
• Beneficial ownership and shell
structures
• Third Party Risk & Due Diligence
→ Designing an effective internal reporting
system
→ Reporting requirements and escalation
→ Development of Whistleblowing
infrastructure
→ Understanding Bribery & Corruption
→ Key Bribery provisions
• Active & Passive Bribery
• Pubic Officials
→ International Anti-Corruption Measures
• Foreign Corrupt Practices Act (US)
• UK Bribery Act
→ Department of Justice leniency program
→ Corruption Perceptions Index
→ Conflicts of Interest
• Understanding Bribery & Corruption
→ Practical terms to minimise Corruption Risk
• Relations with customers
• Gifts & Entertainment
• Facilitation Payments
• Cash Payments
• Nepotism
• Prevention, Detection, response
• Insider Trading
MODULE 6: Corporate Maturity
→ Changing and embedding culture
→ Dimensions of maturity
→ General Model of Corporate Maturity
• Minimum Standards
• Compliance culture
• Business improvement
• Values led
→ The maturity curve

Get Inspired! Watch the Video

The Partners for Quality Award recognizes an Employer providing support to an individual where there was a significant benefit to the Division or Society. LEORON institute was granted the prestigious award for their continued promotion of Organizational Excellence through training courses that are directly related to quality improvement techniques and methodologies they provide while promoting the values and mission of ASQ Quality Management Division.

   

Provider: LEORON Professional Development Institute

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Built upon the strong experience in the manufacturing sector, which its founders developed in Sweden during the 90’s global expansion, LEORON evolved into the dominant training institute that offers a comprehensive set of training and development solutions. All across the...


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Contact information for LEORON Professional Development Institute

LEORON Professional Development Institute

OFFICE 502, JLT
Dubai

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www.leoron.com


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