Course curriculum

  • 1
    Welcome
    • Welcome video
    • Comments and questions
    • Webinar replay
    • Webinar slides

Course description

For CEO’s, Responsible Managers and Risk and Compliance Managers struggling to deliver compliance at a lower cost

Recording of webinar held Wednesday 26 July 2017 (60 minutes)

One of the biggest challenges I hear from CEO’s and compliance managers is “how do we manage compliance with a limited budget”?

We all know that it is important to "do things right".

But putting that into practice can be a significant challenge.

That’s what motivated me to specialise in regulatory compliance for financial services providers.

And it’s what motivated me to create online training courses.

My goal is to show you how to implement an effective compliance framework which will save you time and help you to better manage risks. And I want to give you practical tools and resources to make it work in your organisation.

How do you decrease risk and increase productivity without reducing compliance?

How do you work out what is really important and what can be dealt with by processes or systems?

Compliance is usually seen as a cost of doing business rather than a centre of innovation. It's easy for risk and compliance managers to get frustrated.

In my survey I asked my email subscribers if they had one big question (or problem) they 'd like a course to consider what would it be?

The most frequent answers did not relate to responsible lending, data breaches or AML.

They related to managing compliance.

Comments included: "Making "compliance" a practical component of business decisioning, and not just an afterthought or something that is done because it has to be done."

"How to get an executive team on board with compliance"

"Ensuring compliance is more than a tick and flick exercise"

"When a licence covers many business activities, run by different business units, how do responsible managers know where their responsibilities begin and end?"

"Being able to have a course that is clear and articulate about the importance of the business owning their risks, the tasks they should undertake and the support they can get from their 2nd line or Compliance team."

"Balancing compliance culture with commerciality. How do we shift the needle back to a more commercially driven approach that balances our need to make a surplus for our shareholders with our obligation to meet the expectations of our regulators."

"Finding the right balance between risk and best practice, how to get the culture right."

"Benefits of compliance and impacts/consequences of non-compliance, responsible manager responsibilities."

"How to increase the reach of compliance within organisations. What will make the Execs listen?"