Diagnose whether a problem in comprehensive compliance programmes is one of design, resourcing or discipline.
Building Comprehensive Regulatory Compliance Programmes for Financial Institutions
A senior-level treatment of comprehensive compliance programmes, focused on what changes outcomes.
📍 Istanbul🗓️ 5 training days📚 4 modules🎓 Accredited certificate
5intensive training days
4scientific modules
8training sessions
32detailed points
Course Overview
Regulators no longer accept intent as evidence of control over comprehensive compliance programmes. Capital, liquidity and reputation are all exposed by weak handling of this part of financial and banking practice. It establishes a shared vocabulary for the wider financial and banking practice agenda so that teams can disagree productively about it. The professional literature on comprehensive compliance programmes converges on a small set of controls that reliably work. It is pitched for practitioners with responsibility for this strand of financial and banking practice, not for observers of it. The result is the confidence to make and defend decisions about this part of financial and banking practice under scrutiny. Discussion is anchored to worked examples of comprehensive compliance programmes rather than to abstract argument. What blocks progress on this strand of financial and banking practice is usually unclear ownership rather than unclear intent. It ends with a prioritised list of changes to the financial and banking practice discipline that the participant is prepared to defend internally.
Expected Learning Outcomes
Define the scope and boundaries of comprehensive compliance programmes so that responsibility for it is unambiguous.
Establish the segregation of duties required around comprehensive compliance programmes.
Compare the organisation's handling of comprehensive compliance programmes with recognised practice, and close the material gaps.
Review the contractual and legal exposure created by comprehensive compliance programmes.
Price comprehensive compliance programmes to reflect the risk actually being taken.
Validate the assumptions inside any model supporting comprehensive compliance programmes.
Who Should Attend
Business partners who must understand comprehensive compliance programmes well enough to challenge it.
Risk managers responsible for comprehensive compliance programmes.
Credit and underwriting officers assessing comprehensive compliance programmes.
Relationship and product managers whose targets depend on comprehensive compliance programmes.
Coordinators responsible for keeping records and documentation of comprehensive compliance programmes current.
Operations staff executing and settling comprehensive compliance programmes.
Course Modules
Comprehensive compliance programmes: the control framework and segregation of duties
2 sessions · 8 pointsSession 1Who answers for comprehensive compliance programmes, and to whom
- Test comprehensive compliance programmes against a scenario the organisation would rather not model.
- Arrange the handover of comprehensive compliance programmes so capability survives staff changes.
- Identify the key controls over comprehensive compliance programmes and who tests them.
- Test the procedure for comprehensive compliance programmes against a realistic scenario.
Session 2What a supervisor will ask about comprehensive compliance programmes, and in what order
- Confirm that those complying with comprehensive compliance programmes understand why it exists.
- Prepare the summary of comprehensive compliance programmes that senior management will read.
- Prepare the evidence pack demonstrating comprehensive compliance programmes operated as designed.
- Review concentration by counterparty, sector and geography inside comprehensive compliance programmes.
Comprehensive compliance programmes: reporting that supports a decision
2 sessions · 8 pointsSession 1Concentration building quietly inside comprehensive compliance programmes
- Estimate the resource comprehensive compliance programmes requires to run as designed.
- Verify six months later that changes to comprehensive compliance programmes have held.
- Translate the appetite for comprehensive compliance programmes into limits someone monitors daily.
- Establish what evidence demonstrates comprehensive compliance programmes is under control.
Session 2The control on comprehensive compliance programmes that looks strong and is not
- Assess the capital consumed by comprehensive compliance programmes under current and stressed conditions.
- Assign responsibility for keeping documentation of comprehensive compliance programmes current.
- Build the internal briefing that explains comprehensive compliance programmes to those affected.
- Confirm regulatory reporting on comprehensive compliance programmes is complete, timely and reconciled.
Comprehensive compliance programmes: pricing, profitability and risk-adjusted return
2 sessions · 8 pointsSession 1Comparing comprehensive compliance programmes with recognised practice
- Agree who signs off comprehensive compliance programmes and record that they did.
- Name a single owner for each element of comprehensive compliance programmes.
- Reduce the variation in how comprehensive compliance programmes is carried out between teams.
- Check the legal and contractual exposure created by comprehensive compliance programmes.
Session 2Handling a breach of policy on comprehensive compliance programmes properly
- Draft the minimum viable control framework for comprehensive compliance programmes.
- Verify reconciliation and settlement controls covering comprehensive compliance programmes.
- Plan the sequence in which improvements to comprehensive compliance programmes will be introduced.
- Set escalation thresholds for comprehensive compliance programmes that work out of hours.
Comprehensive compliance programmes: measurement, models and their assumptions
2 sessions · 8 pointsSession 1Reviewing comprehensive compliance programmes when nothing has gone wrong
- Confirm reporting on comprehensive compliance programmes reaches the committee that can act on it.
- Design the exception process for comprehensive compliance programmes and require a documented rationale.
- State the risk appetite for comprehensive compliance programmes as a number, not an adjective.
- Confirm client due diligence standards applied to comprehensive compliance programmes are current.
Session 2Reporting comprehensive compliance programmes so the reader can act on it
- Set early warning indicators for comprehensive compliance programmes with defined action thresholds.
- Agree what will be standardised in comprehensive compliance programmes and what will not.
- Benchmark the organisation's comprehensive compliance programmes against comparable operations.
- Confirm segregation of duties across initiation, approval and settlement of comprehensive compliance programmes.
Choose the package that suits you
Silver Package
At least 3 people
USD1,250
- Workshop or Program Participation
- Airport Transfers
- Customized Badge
- Expert Mentorship (Private Sessions)
- Supervision & Secretarial Services
- Accredited Certificate of Participation
- Complete Training Kit
- Coffee Break
- Closing Ceremony
Gold Package
At least 3 people
USD1,850
- 5-night stay in a 5-star hotel
- Workshop or Program Participation
- Airport Transfers
- Customized Badge
- Expert Mentorship (Private Sessions)
- Supervision & Secretarial Services
- Accredited Certificate of Participation
- Complete Training Kit
- Coffee Break
- Closing Ceremony
Complete your registration
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