ICA International Diploma in Compliance

Course details

The challenges compliance professionals face mean it is vital to have the right knowledge and skills. The ICA Diplomas in Compliance

will teach you all you need to know to approach your role with confidence.These courses are endorsed by the British Bankers’

Association in the UK.

Target Audience

• Compliance Officers/Managers and their Deputies
• Managers with responsibility for internal compliance controls
• Risk Managers
• Internal Audit Staff
• Regulatory Representatives
• Inpiduals who completed the ICA Advanced Certificate in Compliance (UK or international)
• Accountants
• Lawyers
• Company Secretaries

Content Highlights

• Understanding the Regulatory Environment
• Regulatory Structure
• The Role of the Compliance Officer
• Risk Management
• Designing an Effective Governance, Risk and Compliance System
• Dealing with Regulatory Issues and Enforcement
• Compliance with Prudential Regulation
• Governance, Culture and the Benefits of Compliance
• Managing the Risk of Money Laundering and Terrorist Financing
• Market Abuse, Insider Dealing and Fraud Prevention

Course Outline:

Module 1: The Regulatory Environment

• Understanding the regulatory environment
• Regulatory structure

Module 2: The Compliance Function

• The role of the Compliance Officer
• Risk management
• Designing an internal compliance system
• Dealing with regulatory issues and enforcement

Module 3: The Compliance Environment

• Compliance with prudential regulation
• Corporate governance, creating a compliance culture and the benefits of compliance

Module 4: Key Compliance Issues

• Managing the risk of money laundering and terrorist financing
• Market abuse, insider dealing and fraud prevention