10 Oct 2018, Leeds
9:30am to 4:30pm
In today’s regulatory and economic environment, Compliance managers are under more pressure than ever to make sure they are targeting risks, and resources, as effectively as possible. To make the right judgments about where to focus your effort in terms of monitoring compliance, you need to be able to answer the following questions:
This practical one-day workshop will help Compliance and Monitoring professionals identify the principle compliance risks in their business and design and execute a risk based compliance monitoring plan accordingly.
Making extensive use of practical EXAMPLES, CASE STUDIES and EXERCISES, this practical workshop will help you:
This focused workshop has been designed to help less experienced Compliance and Monitoring staff develop their capabilities and skills and for more seasoned Compliance Managers to refresh and update their approach. It will also be of benefit to Risk and Audit professionals who wish to improve their knowledge of compliance risk management.
This workshop is uses a combination of trainer input, knowledge sharing with interactive syndicate work and case studies. Group size is kept to a maximum of 16 to facilitate learning and the sharing of experience among the trainer and delegates
Gary Pitts has 25 years of compliance experience, including spells in regulation, asset management, investment banking and as a director and managing partner of hedge funds. He now runs his own regulatory and governance consultancy, Tetractys Partners LLP, and is a regular conference speaker and author of technical articles on compliance related topics. He sits on the regulatory advisory group of the Journal of Securities Operations and Custody. Gary has been an FSA/FCA registered person in Controlled Functions 10 and/or 11 since 2001 and brings a combination of compliance and commercial experience, in terms of both practical implementation and Board level oversight, to the training he delivers.
|The risk based monitoring approach||To establish a common understanding of this term||
|Latest regulatory developments in risk based monitoring||To review the FCA’s approach and explore how the regulator's techniques can be applied in your firm||
|Researching the risks facing your firm||To identify the data within the firm that will inform your monitoring regime||
|Preparing the monitoring plan||To know how to create a plan that will reflect risk priorities and drive out resource requirements||
|Reporting results||To structure a report format that communicates the priorities||
|Remedial monitoring||To respond to monitoring results and adjust the compliance plan||
This course can be delivered in-house at a time and location to suit your business and tailored to suit your people and organisation. We can also create bespoke training when something very specific is needed.Please contact us to discuss your requirements in more detail and at no obligation.