20 and 21 January 2021, remote delivery
9:30am to 12:45pm each day.
Course fees: £575.00 + vat per person
Savings for multiple registrations
Today, Compliance managers are under more pressure than ever to make sure they are targeting risks, and resources, as effectively as possible and adapting their monitoring to the changing regulatory environment. Yet despite their best efforts, many firms continue to face action or have significant failures of controls. Monitoring is too often approached as a mechanistic task focused on rote compliance, not the “outcomes” on which the FCA is focused.
By developing a CASE STUDY throughout the course and making extensive use of practical EXAMPLES, attending 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.
Attending 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 course will be delivered via a real time slide sharing and live audio visual platform, accessible by desktop computer, laptop, tablet or smartphone. The same core content will be covered as in the original face to face training course, with the format and style adapted for remote delivery. Class size will be limited to ensure a high quality learning environment.
Gary Pitts has over 25 years of compliance experience in the UK and overseas, including spells in regulation, asset management, investment banking and as managing partner of a boutique financial services house. He was a director of Cayman and Luxembourg domiciled hedge funds, as well as regulated companies in the UK and South African has been an FSA/FCA registered person in Controlled Functions 10 and/or 11 since 2001. He now runs his own governance and regulatory consultancy: Tetractys Partners LLP. Gary is a regular conference speaker and author of technical articles on compliance related topics and sits on the regulatory advisory group of the Journal of Securities Operations and Custody. He 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.