Course Overview

This course covers the principles of good governance and quality assurance for compliance function in banks and financial institutions. You will develop a strong core knowledge of corporate governance frameworks and codes and compliance.

This practical course will equip executives, senior managers and functional heads with a specialist role in internal audit, risk management, compliance and control, HR, quality and excellence, information management or security to establish, lead and manage specialist functions that meet current good practice expectations.

Who should attend?

• Bank employees

• Bank managers

• Employees in compliance and control

• Quality auditors

• Senior managers

• HR employees

  Knowledge and Benefits:

  After completing the program, participants will be able to master the following:

• Explain the reason for compliance

• Discuss their industry regulatory framework

• Assess the implication of Compliance Communications

• Gain experience in the procedures of compliance functions in a bank so that they can set

  priorities for the management of compliance risks in the bank to suit its requirements

• Examine quality assurance

• Understand the integrated concepts of governance, risk management, information,

  compliance and performance, control and assurance and the standards expected

  including structural, procedural, and behavioural components

• Appreciate how to establish, lead, and manage the specialist functions to meet current

  global standards

• Evaluate your function’s performance and compliance, and provide information and

  assurance as required in the accountability framework

• Engage effectively with your stakeholders

0. Course Content

18 January 2023