Risk and Compliance Officers Training - NASBA Certificate
- Speaker:Mario Mosse
- Product Code:GRC-90389
- NASBA CPE: 1.5
Live Session - How it works
- Username and Password will be sent to you within 24 hours prior to the webinar.
- Presentation handouts in pdf format will be emailed to along with the login instructions or few hours before the meeting starts.
- Login to the session by clicking on “Join the Meeting” in the login instructions and then dial the number to connect to the meeting audio or use your Computer to connect to audio. Please use the name and the email address you used at the time of registration to join the meeting.
- Get answer to your queries through interactive Q&A sessions. The Q and A sessions are at the end of the meeting. The expert will complete his/ her presentation and then the phone lines will be open for the audience to discuss your questions.
- Please let us know your thoughts and views at the end of webinar, your valuable feedback will help us improve our Training programs.
- Certificate of attendance is emailed to you within 6 working days from the date the webinar was completed. If you don’t receive an email within 6 days. Please email our firstname.lastname@example.org
Recorded Session - How it works
- Login Information with Password to view the webinar will be emailed to you within 48 hours from the date the Live webinar was completed. The link to the recording is for a single person use only and it is valid for 6 months or the actual duration the recording was purchased.
- Please click on the link to access the Recording and type in the password provided in the email.
- Presentation and other handouts will be emailed to you in a pdf format.
Training CD - How it works
- Free shipment within 2 working days, from the date the webinar was completed. The presentation and other handouts will be emailed to you in a pdf format if we are unable to attach them in the CD or USB.
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If you are unable to attend the meeting Live then you can opt in for the Live Recording instead. Access the Recording of the Training for 6 months. Contact our support for any questions. To prepare an invoice to pay by Check or Wire email us at email@example.com.
NASBA CPE - 1.5
Group Internet Based | 1.5 (1 CPE for 50 minutes) | Finance (1.5 CPE) | Intermediate | Prerequisites - None | No advance preparation
About the Topic:
A high-level compliance risk management overview designed for international financial institutions, this webinar covers all aspects of an effective compliance program, including an analysis of the current regulatory environment and corporate governance principles; the culture, organization, policies and procedures of an effective compliance function; and, integration with enterprise risk management. The webinar will also provide an overview of significant compliance topics such as anti-money laundering, combating terror financing, anti-bribery legislation and foreign account tax compliance.
Why you must attend:
In today’s world of complex regulations and aggressive enforcement, all employees of a financial institution must understand the role of compliance and risk management and the importance of maintain a strong compliance culture.
Areas we will be Covering:
- Roles and responsibilities of the CCO
- Compliance’s place in the overall organization and the corporate governance and risk management structure
- Creating a sound corporate compliance culture supported by high ethical standards
- How to select, train and retain the right people
- Compliance risk identification, assessment and mitigation
- Developing scenario analysis, incident investigation and reporting, and compliance key indicators (KCIs)
- Establishing an effective and efficient regulatory tracking and change management process
- How to communicate and report effectively to senior management and the board
- Review of the current legal and regulatory environment
- Compliance with major international regulatory requirements
Who will benefit from this training:
- Risk Officers
- Compliance Officers
- Internal and External Auditors
- Financial Controllers
- Operations Managers
- Board Members
- Business Managers
- Investment Managers
Mario Mosse has over 40 years of experience in enterprise risk management, internal audit and regulatory compliance at financial services companies. He is the president of MMosse Consulting, LLC, where he provides risk management advice and training to the financial services industry. Previously, he was the head of Operational Risk Management at Prudential Financial, Inc. Prior to joining Prudential, Mosse was with The Chase Manhattan Bank, where he held several senior positions in Risk Management and Internal Audit.