Safeguarding the Corporate Governance System of Regulated Entity – The Role of the Compliance Officer- 9 & 16 October

This course is designed to help participants identify those duties and responsibilities that must be fulfilled by the Compliance Officer, as an official of a Regulated Entity, whose role is to ensure that the Entity complies with all laws under which it operates, and rules issued by the Regulator (‘MFSA’).

Apart from explaining how the Compliance Officer oversees the Entity’s governance system, this course will include an analysis of the Compliance Officer’s reporting function, both internally to the Entity’s Board of Directors as well as externally to the Regulator.

Participants will be shown how Compliance Officers can discharge their regulatory obligations in practice.

The following are the specific learning objectives:

• Understand the role that the Compliance Officer plays in a Regulated Entity’s corporate governance system.
• Identify and explain those duties and responsibilities that are expected by the MFSA from Compliance Officers employed by Regulated Entities operating in the financial services sector.
• Understand the importance of a good corporate governance system
• Delineate the MFSA’s expectations and the role that the Directors, both executive and non-executive, should play to safeguard the Entity’s governance systems.
• Understand interactions of the Compliance Officer with the Internal Auditor and the Risk Officer and why the latter are also necessary to a sound governance system.
• Set out the methodologies for managing and mitigating compliance risk.
• Understand how the regulatory impositions are reflected in the Compliance Officer’s day-to-day work.
• Understand how the Compliance Officer can create additional value to the Regulated Entity besides helping it to fulfil the minimum regulatory requirements.

Target Audience

• Students reading for a related qualification.
• Due Diligence Officers.
• Compliance Officers.
• MLROs, Designated Employees and other staff of AML/CFT subject persons.
•  
• Auditors and Lawyers.
• Finance Professionals
• Risk Officers

Instructed by: Mark Abela. in: Uncategorized

Seminar Description

This course is designed to help participants identify those duties and responsibilities that must be fulfilled by the Compliance Officer, as an official of a Regulated Entity, whose role is to ensure that the Entity complies with all laws under which it operates, and rules issued by the Regulator (‘MFSA’).

Apart from explaining how the Compliance Officer oversees the Entity’s governance system, this course will include an analysis of the Compliance Officer’s reporting function, both internally to the Entity’s Board of Directors as well as externally to the Regulator.

Participants will be shown how Compliance Officers can discharge their regulatory obligations in practice.

The following are the specific learning objectives:

• Understand the role that the Compliance Officer plays in a Regulated Entity’s corporate governance system.
• Identify and explain those duties and responsibilities that are expected by the MFSA from Compliance Officers employed by Regulated Entities operating in the financial services sector.
• Understand the importance of a good corporate governance system
• Delineate the MFSA’s expectations and the role that the Directors, both executive and non-executive, should play to safeguard the Entity’s governance systems.
• Understand interactions of the Compliance Officer with the Internal Auditor and the Risk Officer and why the latter are also necessary to a sound governance system.
• Set out the methodologies for managing and mitigating compliance risk.
• Understand how the regulatory impositions are reflected in the Compliance Officer’s day-to-day work.
• Understand how the Compliance Officer can create additional value to the Regulated Entity besides helping it to fulfil the minimum regulatory requirements.

Target Audience

• Students reading for a related qualification.
• Due Diligence Officers.
• Compliance Officers.
• MLROs, Designated Employees and other staff of AML/CFT subject persons.
• Auditors and Lawyers.
• Finance Professionals
• Risk Officers

Qualifies for  5 CPE CORE hours under the core competency area.

Course Fee

The course fee is €125.00 Non-Members €110.00 For Members. The fee covers seminar participation and access to event resources. Login details will be provided closer to the date.

A receipt will be issued to all participants.

Event Resources

Participants will receive the event resources by email.

Additional Information

For more information, kindly use the following communication mediums:

T: 21 58 53 74   M: 77 01 17 19   E: info@skillsmalta.com      Webpage: www.skillsmalta.com