Introduction to Compliance Risk Management CRM
Do you know why companies and institutions are being penalized by regulators? How companies manage risk of non compliance to regulatory requirements? Why Board of Directors of companies are concerned about regulatory risk management and more specifically the compliance risk management CRM?
In this course you will get insight about how the companies and regulators are focusing on strong compliance culture to manage the affairs of the company or institutions and avoid penalties and reputation losses. You will learn why is it important for risk functions such as Risk Management, Compliance and Controls, IS Security, Quality Control and Audit to support each other in their work. You will learn new and emerging risks and their significance in compliance risk management process.
You will learn new terms applicable in risk and compliance function that are used by Managers and Executives of the company. This course will help you in your job roles particularly if your area is compliance, risk assessment and management.
This course will provide you a broader idea on how to prepare the risk inventory database. This course will also make you understand how important is this now for internal audit, compliance and risk management to work together as part of governance and controls defense model.
After attending this course you will be able to confidently talk and communicate with risk, compliance, audit and related professionals.
Who is this course for:
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Compliance professionals and students
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Risk management professionals and students
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Internal audit professionals and students
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Internal controls professionals
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Finance professionals and students
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ACCA, CPA, CGA, CMA students
Introduction
Course Instructor's introduction. Instructor is a senior Compliance and Risk Management professional with more than 15 years of work experience with different MNCs and Financial Institutions. Instructor possess in-depth knowledge about Compliance Risk Management CRM and Regulatory Compliance. This course is designed on Compliance Risk Management CRM.
Importance of Compliance Risk Management is discussed.
Details of the course on Compliance Risk Management is covered here.
Compliance Culture
Course Instructor's introduction. Instructor is a senior Compliance and Risk Management professional with more than 15 years of work experience with different MNCs and Financial Institutions. Instructor possess in-depth knowledge about Compliance Risk Management CRM and Regulatory Compliance. This course is designed on Compliance Risk Management CRM.
In this lecture students will learn how important it is for companies to create a strong compliance culture to avoid penalties and financial losses.
How can it be tested that whether a company is maintaining a strong compliance culture is discussed in this lecture. These are the ways which regulators and auditors use to assess the compliance culture in a company.
Types of Risks
Compliance Risk
Three Lines of Defense (TLOD) Model
Governance Structure
Compliance Risk Committee CRC
Compliance Function
Quiz
Knowledge test questions on Compliance Risk Management CRM
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