Finance and Banking

Managing Continuous Compliance Training Programmes for Staff

A senior-level treatment of continuous compliance training, focused on what changes outcomes.

  • 5training days
  • 4modules
  • 8sessions
  • 32topics
View packages and pricesCourse outline
Managing Continuous Compliance Training Programmes for Staff
5days

About the programme

Course Overview

Regulators no longer accept intent as evidence of control over continuous compliance training. Growth built on poorly controlled the financial and banking practice discipline reverses faster than it accumulated. Work is grounded in real cases drawn from this area of financial and banking practice, which each participant adapts to conditions in their own organisation. Post-incident reviews keep identifying weaknesses in continuous compliance training that were visible long before the incident. It establishes a shared vocabulary for this strand of financial and banking practice so that teams can disagree productively about it. It is designed for mixed groups, so that the wider financial and banking practice agenda is examined from more than one functional angle. Participants finish able to explain continuous compliance training to a non-specialist audience without losing precision. Teams frequently over-invest in documenting the financial and banking practice capability and under-invest in testing it. The final module sets out how progress on this area of financial and banking practice will be evidenced six months later.

Expected Learning Outcomes

  • Build the audit evidence that demonstrates continuous compliance training operated as designed.

  • Sequence improvements to continuous compliance training so that each step makes the next one easier.

  • Build the control framework around continuous compliance training that an examiner would accept.

  • Apply the relevant accounting and disclosure treatment to continuous compliance training.

  • Assess the current state of continuous compliance training against a structured set of criteria rather than impressions.

  • Define the risk appetite applying to continuous compliance training and translate it into operating limits.

  • Establish what evidence would demonstrate that continuous compliance training is under control.

Who Should Attend

  • Internal auditors reviewing the controls around continuous compliance training.

  • Investment and portfolio managers exposed to continuous compliance training.

  • Compliance officers overseeing continuous compliance training.

  • Relationship and product managers whose targets depend on continuous compliance training.

  • Project and programme managers whose delivery depends on continuous compliance training.

  • Technical staff being prepared for supervisory responsibility over continuous compliance training.

Course Modules

Open any module to see its sessions and topics.

01

Continuous compliance training: the control framework and segregation of duties

2 sessions · 8 points

Session 1Handling a breach of policy on continuous compliance training properly

  • Agree the smallest change to continuous compliance training that would be visibly useful.
  • Confirm reporting on continuous compliance training reaches the committee that can act on it.
  • Reduce the variation in how continuous compliance training is carried out between teams.
  • Identify the data already collected that bears on continuous compliance training.

Session 2Concentration building quietly inside continuous compliance training

  • Define acceptance criteria for continuous compliance training in advance.
  • Agree who signs off continuous compliance training and record that they did.
  • Check the legal and contractual exposure created by continuous compliance training.
  • Set escalation thresholds for continuous compliance training that work out of hours.
02

Continuous compliance training: measurement, models and their assumptions

2 sessions · 8 points

Session 1Where continuous compliance training typically breaks, and why

  • Distinguish symptoms from causes when continuous compliance training underperforms.
  • Assess the capital consumed by continuous compliance training under current and stressed conditions.
  • Build the competence framework that supports continuous compliance training.
  • Decide what will be stopped to create capacity for continuous compliance training.

Session 2Making continuous compliance training work when resources are constrained

  • Review concentration by counterparty, sector and geography inside continuous compliance training.
  • Document the remediation plan for each known weakness in continuous compliance training.
  • Write down the assumptions underpinning the approach to continuous compliance training.
  • Agree the indicators that will show whether continuous compliance training is improving.
03

Continuous compliance training: audit evidence and examiner readiness

2 sessions · 8 points

Session 1The paperwork for continuous compliance training that is actually needed

  • Estimate the resource continuous compliance training requires to run as designed.
  • Benchmark the organisation's continuous compliance training against comparable operations.
  • Translate the appetite for continuous compliance training into limits someone monitors daily.
  • Record what was learned when continuous compliance training did not go as planned.

Session 2Reporting continuous compliance training so the reader can act on it

  • Record the rationale for each significant choice made about continuous compliance training.
  • Build the internal briefing that explains continuous compliance training to those affected.
  • Design the exception process for continuous compliance training and require a documented rationale.
  • Verify reconciliation and settlement controls covering continuous compliance training.
04

Continuous compliance training: exceptions, breaches and remediation

2 sessions · 8 points

Session 1The control on continuous compliance training that looks strong and is not

  • Test continuous compliance training against a scenario the organisation would rather not model.
  • Check the accounting treatment applied to continuous compliance training against current standards.
  • Identify the key controls over continuous compliance training and who tests them.
  • State the risk appetite for continuous compliance training as a number, not an adjective.

Session 2The early warning on continuous compliance training that arrives in time

  • List the assumptions in any model supporting continuous compliance training and when each was last challenged.
  • Establish what evidence demonstrates continuous compliance training is under control.
  • Set early warning indicators for continuous compliance training with defined action thresholds.
  • Confirm segregation of duties across initiation, approval and settlement of continuous compliance training.

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.

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