European Institute of Management and Finance | Compliance Monitoring Programme
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Compliance Monitoring Programme

Compliance Monitoring Programme – a Risk Based Approach

Compliance contributes to the security of the organization and to the prevention of situations, which would impact the operation and the reputation of the organization, as well as the employees individually.

 

The need of training for the personnel working in the financial area has become imminent, in order for them to be in position to face the new challenges and to contribute, depending on their role, to the adaptation and the operation of the organization, according to the existing and forthcoming regulation. In parallel, the role of the Compliance Officer evolves progressively and Compliance has become, a new challenging career opportunity, at global level.

Expected Outcomes:

Compliance Function is developing in one of the most important functions for the banks, as well as for the financial and insurance institutions, as demonstrated by several international scandals impacting the reputation of big financial institutions.

The aim of this programme is to provide a practical insight and exercises in designing and developing a risk-based compliance monitoring system with robust reporting that effectively supports the governance of a regulated firm.

  • Obtain an overview of the process for analyzing compliance risks and controls across your firm in the context of your firm’s risk appetite
  • Understand how to document these risks effectively
  • Techniques for engaging the business in the risk assessment process
  • How to determine priorities and allocate your monitoring resources effectively
  • Effective report writing and escalation of issues to senior management
  • Put the techniques to use in case studies
  • Share best practices with your peers

Seminar Content:

For a detailed agenda, please download the Syllabus on the right

Who should attend:

Compliance monitoring staff, heads of compliance, internal audit

DATE: May

DURATION: 6 Hours

CPD UNITS: 6

LOCATION: CMS Training Center, Limassol

TIME: 09:00 – 15:30

FEES: €250 + VAT

Syllabus

Download Course Content

Registration Form

Download Registration Form

You can register by sending the completed registration form above to info@eimf.eu or via fax to 2227 4475. If you need help completing the form, please give us a call at 2227 4470

In-House Training

If you would like to discuss bringing this or another topic to your organization on an in-house basis please call us at 22274470 or email us at info@eimf.eu.

Instructor: 

Gary Pitts

Gary has over 21 years of compliance experience including spells with the Personal Investment Authority, Henderson Global Investors, Brevan Howard Asset Management, Religare Capital Markets and, immediately prior to setting up his own consultancy, as a Managing Partner of a boutique financial services firm.

He has extensive asset management, hedge fund and investment banking experience in addition to a broad and deep understanding of corporate governance. Gary is a regular conference speaker and author of technical articles on compliance-related topics. He sits on the regulatory advisory group of the Journal of Securities Operations and Custody. Gary holds Masters degrees from Oxford and London Universities and an MBA from the Open University Business School. He is a former director of Cayman and Luxembourg domiciled hedge funds, as well as regulated companies in the UK and South Africa. Gary has been an FSA/FCA registered person in Controlled Functions 10 and/or 11 in the UK since 2001.

Gary has experience in the following jurisdictions; UK, US, South Africa, Luxembourg, Cyprus, Cayman Islands, Channel Islands, Hong Kong and Singapore.