Compliance Risk Management

Compliance Risk Management

Overview:

For several years, we have seen countless news items concerning securities fraud, ethical lapses, money laundering, conflicts of interest, and insider trading. More often than not, these cases result in loss of business, reputation, revenue, and importantly, trust. As regulatory authorities globally turn their attention to higher expectations in the control environment, the compliance function is quickly becoming an important driver in risk management strategies. Attend this practical 2-day course to obtain a deep understanding of and appreciation for the necessity of a strong and well-equipped compliance function within any financial services institution.

Who should attend?

• New Compliance Officers
• Risk Managers
• Control Function Managers
• Legal Department Managers
• Management Consultants
• Equities Sales and Trading Desk Operations Managers
• Fixed Income Sales and Trading Desk Operations Managers
• Investment Banking Administrative Officers
• Treasurers
• Financial decision makers in corporations
• Strategists

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