Course : Regulatory Compliance & Risk Management Excellence

Course Outline

Day 1: The Regulatory Landscape & Role of Regulators

• Overview of financial regulatory frameworks
• Objectives and principles of financial services regulation
• International regulatory standards and compliance expectations
• Role and responsibilities of financial regulators
• Understanding regulatory expectations and obligations
• Navigating jurisdiction-specific compliance requirements
• Best practices in regulatory compliance
• ISO 19600: Compliance management systems

Day 2: Compliance Functions & Corporate Governance

• Structuring an effective compliance function
• Roles of the Board of Directors, supervisors, auditors, and compliance officers
• Key compliance activities and regulatory processes
• Relationship between compliance and corporate governance
• Corporate governance frameworks and financial crime prevention
• Compliance training programs and awareness initiatives
• Identifying and managing conflicts of interest
• Ensuring continuous adherence to evolving laws and regulations

Day 3: Risk Management & Compliance Risk Strategies

• Fundamentals of risk management approaches
• Establishing a governance, risk, and compliance (GRC) framework
• Importance of internal controls in mitigating compliance risks
• Effective strategies for identifying, mitigating, and controlling risks
• Risk assessment methodologies and approaches
• Creating a culture of compliance and ethical decision-making
• Managing internal and external stakeholder relationships

Day 4: Designing & Implementing an Effective Compliance Function

• Critical factors in designing compliance systems
• Developing and maintaining internal compliance frameworks
• Effective communication of compliance policies and internal controls
• Drafting and implementing a comprehensive compliance manual
• Establishing compliance monitoring and reporting mechanisms
• Ensuring independence and accountability in compliance roles
• Record-keeping and documentation best practices
• Managing regulatory interactions and adapting to policy changes

Day 5: Financial Crime Prevention & Anti-Money Laundering (AML) Measures

• Understanding money laundering offenses and compliance obligations
• Roles and responsibilities of the Money Laundering Reporting Officer (MLRO)
• Implementing a risk-based approach to money laundering and terrorist financing
• Monitoring, detecting, and reporting suspicious activities
• Fraud prevention strategies and internal controls
• Addressing bribery, corruption, and insider trading risks
• Managing market abuse and regulatory enforcement actions
• Role of economic sanctions in global financial security

The Scandinavian Academy for Training and Development adopts the latest scientific and professional methodologies in training and human resource development, aiming to enhance the efficiency of individuals and organizations. Training programs are delivered through a comprehensive approach that includes:

• Theoretical lectures supported by PowerPoint presentations and visual materials (videos and short films).
• Scientific evaluation of participants before and after the program to measure progress and knowledge acquisition.
• Brainstorming sessions and practical role-playing to simulate real-life scenarios.
• Case studies tailored to align with the training content and participants work nature.
• Assessment tests conducted at the end of the program to evaluate the achievement of training objectives.

Each participant receives the training material (both theoretical and practical) in printed form and saved on a CD or flash drive. Detailed reports, including attendance records, final results, and overall program evaluations, are also provided.

Training materials are prepared professionally by a team of experts and specialists in various fields. At the end of the program, participants are awarded a professional attendance certificate, signed and accredited by the Scandinavian Academy for Training and Development.

Program Timings:

• 9:00 AM to 2:00 PM in Arab cities.
• 10:00 AM to 3:00 PM in European and Asian cities.

The program includes:

• A daily buffet provided during the sessions to ensure participants comfort.

Course Introduction

In today`s rapidly evolving regulatory and business landscape, organizations must implement robust risk management frameworks and ensure full compliance with financial regulations to protect their operational, financial, and reputational integrity. This Advanced Corporate Risk & Crisis Management training program provides participants with a comprehensive understanding of risk mitigation, regulatory compliance, and crisis management best practices.

This course explores key aspects of financial regulation, governance structures, risk assessment strategies, and financial crime prevention. Participants will gain insights into the role of regulatory bodies, effective compliance frameworks, corporate governance principles, and the responsibilities of compliance officers. Through case studies and practical exercises, this program equips professionals with the necessary tools to navigate regulatory challenges, reinforce internal controls, and enhance organizational resilience.

General Objectives

By the end of this course, participants will be able to:

• Analyze the global regulatory environment and understand the role of financial regulators.
• Implement best practices in regulatory compliance, risk governance, and corporate ethics.
• Develop and integrate an effective compliance management system in line with ISO 19600.
• Understand the roles and responsibilities of compliance officers and corporate governance teams.
• Establish a structured risk management approach to effectively identify, mitigate, and control risks.
• Design and implement internal compliance policies, procedures, and monitoring frameworks.
• Strengthen anti-financial crime strategies, including money laundering and fraud prevention.
• Foster a corporate culture that emphasizes compliance awareness and proactive risk mitigation.

Target Audience

• C-suite Executives & Board Members overseeing compliance, governance, and risk management.
• Risk & Compliance Officers responsible for regulatory adherence and internal controls.
• Internal & External Auditors conducting compliance and risk audits.
• Legal & Regulatory Affairs Specialists ensuring legal and ethical business practices.
• Financial Crime Prevention Professionals managing fraud, anti-money laundering, and corruption risks.
• Corporate Governance Practitioners focused on enhancing organizational accountability and ethical leadership.
• Security, Risk & Internal Control Managers tasked with implementing risk mitigation frameworks.

The Scandinavian Academy for Training and Development is committed to hosting all training programs in dedicated and well-equipped hotel facilities specifically designed for conducting and delivering training sessions, unless explicitly stated otherwise on our website. Participants will be notified of the program venue within 7 to 21 days prior to the programs start date, based on the Academys assessment and the programs circumstances. The Academy emphasizes that it holds no responsibility for any force majeure events that may prevent the program from being held at the designated venue. Nevertheless, the Scandinavian Academy for Training and Development will make every effort to provide suitable alternatives and extend the necessary support to participants in the event of a venue change due to unforeseen circumstances.