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London, Europe, MENA, GCC Time Zone
CPEs: 24
Instructor: Dennis Cox
Level: Intermediate
Tuition: £2,495.00
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NEW Practical Approaches to Governance, Risk and Compliance CPR051

Location: London, Europe, MENA, GCC Time Zone

First Date: Dec 06 - 08 2021

Duration: 3 days/24 hours

Programme Director: Dennis Cox

All Dates & Locations
Venue Details

Experience the highly-interactive expert-led social learning through Virtual Classroom via Cisco WebEx from Risk Reward.

All our 2021 Virtual Classroom events feature shared (or discrete) live chat between delegates and the expert, participate in topical surveys, polling questions, group exercises and case studies for a tried -and- true engaging and gratifying learning experience.

""Dennis was well prepared, knowledgeable and very enjoyable.""
Senior Audit Manager, US Bank, Virginia
Agenda Highlights

Session 1:  Introduction to Corporate Governance

Session 2:  Key Corporate Governance Best Practice

Session 3:  Enterprise Risk Management

Session 4: The Risk Management Process

Session 5: The control environment

Session 6:  Defining Key Risk Indicators (KRI) within Corporate Governance Framework

Session 7:  The link between Corporate Governance and Compliance

Session 8: Key Compliance Requirements – processes

Session 9:  Key Compliance Requirements – best practice

Session 10: Bringing it all together

""Overall, the class material was great and the materials taught were very timely in the current COVID-19 environment." "
Compliance Officer, US Investment House, New York
Overview

In the current rapidly evolving business environment banks and financial institutions are acutely challenged to optimise the understanding of the role and intersection of Governance, Risk and Compliance.

The practical. hands-on,case studies-driven program will provide a detailed look and analysis of global changes to regulations and how robust compliance practices and procedures within organisations need to be developed, looking at best practice to identify, analyse, and resolve current issues whilst building a dynamic future system.

Appropriate Governance structures and approaches to meet the demands of regulators will be discussed allowing participants to share their own experiences from the workplace.

""Materials were good, if high-level. Instructor is very good, speaks well and is extremely knowledgeable and well-informed. This is the 2nd class I've attended of his and he is very good (D. Cox).""
Risk Manager, Commercial Bank, California
Who Should Attend

All staff involved with Governance, Risk and Compliance together with business unit risk champions.

Additional Course Information

What Does It Cover?

Introduction to Corporate Governance

  •  Why do we need Corporate Governance?
  • Key features of Corporate Governance
  • Structure of an organisation
  • The challenge of corporate governance
  • The changing expectations on directors
  • Implementing corporate governance within a firm – key lessons and issues
  • What really matters to the Board?

Case Study:  Current risks and priorities within banking

Key Corporate Governance Best Practice 

  • The relationship between corporate governance and risk management
  • Key governance codes
  • Other relevant best practice guidelines
  • Increasing emphasis on prevention of bribery and corruption in major economies
  • Disclosure and transparency
  • Modifying the company’s mission and business ethics to be in line with Corporate Governance Criteria
  • The IIA 3 lines model

 Case Study:  Actions and changes in Practice

 Enterprise Risk Management 

  • What is enterprise risk management?
  • How does it align with governance?
  • Structure of risk management
  • Embedding risk management
  • Role of the risk champion
  • Inherent risk, residual risk and treatments
  • Risk appetite (personal and corporate)
  • Key measures of risk (including VAR)
  • The responsibilities of the risk management function
  • Insurance and risk management
  • Risk policies and procedures
  • Outsourcing and third party risk management
  • Warning signs and reporting 

Case Study:  Developing a risk appetite statement

  The Risk Management Process 

  • Strategic issues
  • Risk appetite
  • Policies and procedures
  • Risk register
  • Risk identification, measurement and monitoring including risk workshops
  • Risk recording: understanding the risk register

Case Study:  Developing Board risk reporting 

The control environment 

  • Role of internal control
  • Basic building blocks of control
  • Embedding risk management into the corporate culture
  • Key control indicators
  • The value of control

Case Study:  The role of risk and control self-assessment 

Defining Key Risk Indicators (KRI) within Corporate Governance Framework

  • Assessing the impact and probability of key risks
  • Proposing key risk indicators
  • Producing key performance and control indicators
  • Building this into effective structures
  • Considering the impact of stress testing
  • The role of operational resilience

Case Study:  Designing forward looking metrics

The link between Corporate Governance and Compliance 

  • Is Corporate Governance just another way of saying Compliance?
  • Can an institution’s corporate governance and ethical approach operate independently of its compliance policy?
  • The role of the compliance function
  • Business controls to achieve compliance – solutions and approaches
  • Benefits of a coordinated approach to all aspects of risk management

What is the responsibility of Compliance? 

Key Compliance Requirements – processes

  • The development of a compliance manual
  • The compliance register
  • The training requirements
  • Recording Training and Competence
  • Matching skills to roles
  • Senior Management roles and responsibilities

Case Study:  Meeting senior management responsibilities

Key Compliance Requirements – best practice 

  • Money laundering deterrence
  • Fraud deterrence
  • KYC and KYE
  • Treating customers fairly
  • Suitability
  • Higher risks accounts and PEPs
  • Market abuse and insider trading
  • Best execution
  • Advertisements
  • Documentation
  • Outsourcing

Case Studies:  Recent compliance cases – what went wrong?

Bringing it all together

  • Modelling to the future
  • Stress testing and scenario modelling
  • Integrated reporting
  • Pull and push
Learning Objectives

Delegates will gain specialist technical and behavioral knowledge, techniques and approaches, a thorough understanding of the issues that arise within the application of governance, risk management and compliance processes within a business.

They will appreciate the key tasks that need to be conducted and the approaches that are most likely to add value.

Focusing on practical applications this course will systematically review each area and demonstrate how they work with each other and their impact on business.

Social Learning & Methods

Highly interactive expert-led intensive presentation, Q&A, group real-time in-depth case studies, regulation and discussion supported by key principles and theory.

The virtual learning platform uses safe, industry preferred encrypted Cisco WebEx to optimise live face-to-face visual interaction, discrete chat, for polling and quizzes.

(An invitation via email with access link is included for all participants.)

Registration

NEW Practical Approaches to Governance, Risk and Compliance

Course Fee

Early Bird Discounts of 10% available by May 1, 2021

Course Fee (per person):
GBP £2,495.00 (+ UK VAT when applicable)

Number of delegates:

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