Course Overview
Certified Compliance Officer™ is a management programme designed to teach a practical understanding of regulatory compliance needs. The programme covers eight major subject areas and utilises a variety of training techniques. The key areas of the curriculum include understanding the regulatory environment, who is responsible for compliance, the role of corporate governance and ethics in compliance programmes, and the implementation of compliance programmes. The emphasis will be on practical and pragmatic approaches, rather than theoretical.
The goal of this programme is to provide Compliance Officers and Managers with skills that can be immediately used upon return to the organisation. You will learn to appreciate the extent to which organisations and their public officers are exposed to the everincreasing regulatory environment, how to identify the compliance issues that have the most significance for you and how to introduce a compliance management programme within your organisation.
Course Outline
1. Introduction To Compliance
• What is corporate compliance?
• Who is responsible for managing it?
• What are the benefits of its introduction?
• Fostering a culture of accountability
2. The Regulatory Environment And The Role Of Regulators
• Regulatory drivers
• A variety of legal obligations and due diligence
• International responses to the problems of money laundering, economic crime, cyber-sabotage and terrorism
• Non-compliance and its ramifications
3. Compliance And The Role Of Corporate Governance
• What is governance?
• The corporate constitution and governance structures
• Duties and responsibilities of directors
• Protection of stakeholder interests
4. Compliance And Business Ethics
• What are ethics?
• Ethics and corporate accountability: Sarbanes-Oxley
• Benefits of a commitment to sound business ethics
• Corporate ethics guidelines
5. Developing A Corporate Compliance Programme
• Code of conduct
• Policies and procedures
• Best practice principles
• Monitoring and auditing
6. Implementation Of Corporate Compliance
• Implementation requirements
Case studies will be used to demonstrate how organisations have implemented compliance programmes
7. The Corporate Compliance Function
• The location of the compliance function
• Integration or independence of the compliance function
• An optimal compliance architecture
• The Compliance Officer
8. Issues In Compliance
• The demand for Corporate Social Responsibility (CSR)
• Fraud and corruption control
• International money laundering
9. Whistleblower Programmes And The Law
10. Practical Assessment Exercises
Tasks will be issued on an individual and team basis that will confirm your skills and ability to apply risk management techniques. Exercise will be by way of team discussion of case studies and individual comments on practical risk problems.