Structure records of governance and compliance in finance so that they answer the questions an auditor will actually ask.
Corporate Governance and Compliance Management in the Financial Sector
Turn governance and compliance in finance from a stated policy into a practice your organisation can evidence.
📍 Tunis🗓️ 5 training days📚 4 modules🎓 Accredited certificate
5intensive training days
4scientific modules
8training sessions
32detailed points
Course Overview
Models supporting governance and compliance in finance fail quietly, and usually at the worst moment. Capital, liquidity and reputation are all exposed by weak handling of compliance in finance. A common pattern is strong design of this aspect of financial and banking practice paired with weak follow-through. Participants apply governance and compliance in finance to their own business line throughout, so the output is directly usable. The programme is built to be used, and every section of the practice within financial and banking practice it covers ends in something applicable. Participants gain a realistic view of what compliance in finance costs and what it returns. The most reliable predictor of sound governance and compliance in finance is whether anyone reviews it when nothing has gone wrong. The programme suits teams tackling compliance in finance together as readily as individuals attending alone. It closes by agreeing the smallest change to the wider financial and banking practice agenda that would make a visible difference.
Expected Learning Outcomes
Build the control framework around compliance in finance that an examiner would accept.
Design the reporting on governance and compliance in finance that reaches decision makers in time to act.
Document decisions about compliance in finance in a form that remains useful after the people change.
Establish what evidence would demonstrate that governance and compliance in finance is under control.
Set early warning indicators that flag deterioration in compliance in finance.
Stress test governance and compliance in finance against scenarios that are plausible rather than comfortable.
Who Should Attend
Risk managers assessing the exposure created by governance and compliance in finance.
Internal auditors reviewing the controls around compliance in finance.
Operations staff executing and settling governance and compliance in finance.
Consultants and advisers supporting clients on compliance in finance.
Finance managers reporting on governance and compliance in finance.
Risk managers responsible for compliance in finance.
Course Modules
Governance and compliance in finance: measurement, models and their assumptions
2 sessions · 8 pointsSession 1Building the method for governance and compliance in finance step by step
- Estimate the resource governance and compliance in finance requires to run as designed.
- List the assumptions in any model supporting compliance in finance and when each was last challenged.
- Confirm client due diligence standards applied to governance and compliance in finance are current.
- Review whether compliance in finance is aligned with the objectives of the business line.
Session 2The assumption inside the model for compliance in finance that nobody revisits
- Plan the sequence in which improvements to governance and compliance in finance will be introduced.
- State the risk appetite for compliance in finance as a number, not an adjective.
- Identify the key controls over governance and compliance in finance and who tests them.
- Set escalation thresholds for compliance in finance that work out of hours.
Compliance in finance: exceptions, breaches and remediation
2 sessions · 8 pointsSession 1What compliance in finance does to capital and liquidity under stress
- Document the remediation plan for each known weakness in governance and compliance in finance.
- Translate the appetite for compliance in finance into limits someone monitors daily.
- Decide what will be stopped to create capacity for governance and compliance in finance.
- Confirm segregation of duties across initiation, approval and settlement of compliance in finance.
Session 2Handling a breach of policy on compliance in finance properly
- Compare the cost of governance and compliance in finance with the cost of its absence.
- Prepare the response for the most likely failure in compliance in finance.
- Test governance and compliance in finance against a scenario the organisation would rather not model.
- Verify six months later that changes to compliance in finance have held.
Compliance in finance: reporting that supports a decision
2 sessions · 8 pointsSession 1Keeping compliance in finance alive after the initial push
- Build the competence framework that supports governance and compliance in finance.
- Verify reconciliation and settlement controls covering compliance in finance.
- Confirm regulatory reporting on governance and compliance in finance is complete, timely and reconciled.
- Review concentration by counterparty, sector and geography inside compliance in finance.
Session 2Concentration building quietly inside governance and compliance in finance
- Write down the assumptions underpinning the approach to governance and compliance in finance.
- Arrange the handover of compliance in finance so capability survives staff changes.
- Design the exception process for governance and compliance in finance and require a documented rationale.
- Check the accounting treatment applied to compliance in finance against current standards.
Compliance in finance: audit evidence and examiner readiness
2 sessions · 8 pointsSession 1Setting a limit on compliance in finance that will actually be respected
- Establish the boundary of governance and compliance in finance and record what sits outside it.
- Identify the data already collected that bears on compliance in finance.
- Prepare the evidence pack demonstrating governance and compliance in finance operated as designed.
- Record what was learned when compliance in finance did not go as planned.
Session 2Where compliance in finance typically breaks, and why
- Agree what will be standardised in governance and compliance in finance and what will not.
- Anticipate the objections compliance in finance will raise and prepare the answers.
- Review the pricing of governance and compliance in finance against the risk being assumed.
- Set early warning indicators for compliance in finance with defined action thresholds.
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
We will contact you within one business day to confirm.