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  KRI Interactive 

  Dashbaords    

KRI Dashboards & Board Reporting

CERTIFIED by LONDON SCHOOL OF BUSINESS & FINANCE

In this masterclass practitioners will learn how to integrate Risk, Audit, Legal, Compliance & Governance through a hands-on Risk Based Compliance workshop

Register your interest ...

Frocy Labrador

Head of Learning & Development

# Risk Based Compliance Frameworks

# Assess Compliance Effectiveness

# Interactive Compliance Reporting

# Test Compliance Control Coverage

# Context Sensitive Compliance

# Integrate Risk & Compliance

Traditional compliance methods are struggling to meet new regulatory demands

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Risk Based Compliance shows how to identify control failure in complex transactions ~ learn what to look for!

Program Benefits ...

A totally new program only being

covered by Causal Capital

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  •    Highly practical course and easy to follow

Suitable for all staff working with all compliance requirements

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  •    Explore Regulation and Policy Best Practices

Learn what other firms are doing and move straight to best practice

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  •    In class GAP Study developed from guidelines

Develop an assessment questionnaire for your organisation to identify potential compliance policy gaps

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  •    All material handed over in hard & soft copy

These are your materials, to reuse through an online portal that you have indefinite access to

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  •    Local jurisdictional rulings explained

The course materials are aligned to participant's local regulatory and compliance requirements

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  •    Post workshop support for technical areas

Even after the program you are supported

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  •    Certified by the London School of Business

Become a certified Risk Based Compliance SME

Four Intensive Valuable Days

Day 1 - Compliance Frameworks

Day 2 - Assessment

Day 3 - Integration

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  • Compliance Universe

  • Key definitions explained

  • Compliance Framework roadmap

  • Insight into why compliance fails

  • New RBC regulatory guidelines

  • Develop & deliver GAP Study

  • Steps for Local regulation

  • Roles and Responsibilities

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  • Assess Compliance Coverage

  • Transaction Reporting in RBC

  • Assess Conduct Risk

  • Build Compliance Context Risk

  • Develop Compliance Policy Scripts 

  • Enterprise Wide RBC Mapping

  • Ongoing behavioural monitoring

  • Scorecards in Compliance

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  • Record Keeping for compliance

  • Process flow for Risk Based Compliance

  • How to integrate Audit and Risk

  • Compliance & 3 lines of defence

  • How to review compliance controls

  • Calculate Compliance Coverage

  • Best Practice Compliance Reporting

  • Develop Compliance Dashboard

Day 4 - Governance & Compliance

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  • Case Study IT Compliance

  • Principles Based Compliance

  • Benefit of 'Compliance' Cost

  • Compliance Framwork Project Plan

  • Compliance Breach Solution 

  • Case Study Compliance Reputation 

  • Compliance Culture Control Test

  • LSBF Certification

 Risk Managers often say risk is more than just being compliant ...

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This is where they have it wrong

Governance Processes

for IT Compliance

 ISO 19600 Covered in Detail 

ISO 19600 + ISO 31000

Compliance Standards

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  • Risk Based Thinking for Compliance 

  • ISO 19600 covered in detail

  • Overlay ISO 19600 with ISO 31000

  • Probability impact analysis of non-compliance

  • Develop Obligations Network Register

  • Learn how to Rank Compliance Priorities

  • Identify BOC for compliance treatment

  • Performance valuation of compliance

  • Data models inline with ISO 19600

  • LSBF Certification in ISO 19600

  • Post Workshop Support

 Types of staff finding value 

Compliance Officers

Compliance officers are directly responsible for meeting regulatory requirements, reporting oversight and containing conduct risk. Breach of controls can be disastrous including loss of licence to trade. Look at best practice, gain insight into what other institutions are doing and learn how to connect compliance requirements to enterprise control systems in your organisation.

Head of Departments

Develop a road map for your compliance unit and evolve it to best practice. Explore new frameworks that will bring compliance teams to a level where coverage can be reported and shortfall gaps identified.

Auditors and Risk Teams

Develop a set of audit procedures for compliance teams tied to their objectives. Review various leading audit reports used to measure and report compliance, conduct risk, fraud, malpractice and much more.

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You will learn how compliance breaches occur in complex facilities

Survey staff and construct a report for Enterprise Coverage

Create procedures for assessing Due Diligence, Conduct Risk & Compliance Coverage 

You will develop Risk Based Compliance policy, sensitive to limit setting & client risk

Complete behavioural reporting system and scripts are shown and handed over to participants

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