The Full-Range Compliance Management Model: Embedding Compliance Practically

Programme Overview

The role of the compliance function in Nigeria has grown into one of significant importance. Organisations are increasingly relying on their Compliance Officers to provide them with guidance and recommendations regarding their compliance obligations. How do you get your organisation and your compliance function to cover all aspects of these obligations? The first step is to identify the universe of your compliance obligations.

Programme Objective

To provide a robust, comprehensive and leading insights on how to implement the full-range compliance management model in your organisation. By the end of the programme each participant will be able to:

  • Define compliance obligation and compliance risk Understand the regulatory environment under which compliance operates
  • Gain insights into the relationship between compliance and corporate governance and the corporate governance regimes in Nigeria
  • Explore ethics and ethical culture
  • Learn about the compliance function in terms of independence, status, access to information, reporting line, resources, etc.
  • Examine the roles and responsibilities of the compliance function and internal audit in embedding compliance
  • Learn about the overall compliance environment, including the compliance culture and the organisational culture Identify and discuss the key compliance issues, including AML/CFT, conflicts of interest, conflicts control room, deal clearing and research compliance
  • Gain insights into leading practice approaches to dealing with regulators and investigative/law enforcement officers

Programme Coverage

  • Definition of compliance terms
  • The regulatory environment
  • Corporate governance and ethics
  • The compliance function
  • Independent review of the compliance activities and the compliance function
  • The compliance environment
  • Addressing key compliance issues, including conflicts of interest, Chinese walls, conflicts control room, wall crossing procedures, research compliance, conduct risk, AML/CFT and financial crime control
  • Regulators and investigative/law enforcement officers’ engagements
  • Top compliance challenges
  • Individual and group exercises

 

Who Should Attend?

  • Compliance Officers
  • AML Officers
  • Risk management professional and practitioners
  • Internal Control Officers
  • Internal Auditors
  • Financial Control Officers
  • Company secretaries

 

Duration: 2 days

Date: 18-19 March, 10-11 June and 18-19 September, 2019

Programme fee: N155,999.50 (US$503.23 for foreign participants). Special 10% discount for

groups of 4 or more.

Key benefits: Improved compliance skills, programme materials and certificate of participation