AGRC Certificate in Compliance

Course details

This certificate programme will introduce the essential elements of effective organizational compliance by exploring the concepts, considerations, and strategies for assessing risks and managing the compliance function. You will learn the fundamental principles of effective compliance, the components of an effective compliance program and their applications.

In addition, you will explore the foundational principles of compliance: what are the sources of compliance requirements; where are the requirements found; what behavior satisfies "compliance;" and how do compliance personnel motivate compliant behavior throughout their organization.

Expected Learning Outcomes

By acquiring the Certificate, participants are expected to be able to:

• Comprehend and maintain awareness of compliance requirements
• Organise and monitor the operation of compliance management system
• Implement processes for the management of breaches in compliance requirements
• Provide education and training on compliance requirements and systems
• Promote and liaise on compliance requirements, systems and related issues
• Promote compliance with a sound understanding of the requisite legislation
• Show leadership in the workplace
• Identify risk and apply risk management processes
• Manage projects
• Undertake compliance audits

Certificate Content

Compliance

• Compliance Programs
• Compliance Perspectives
• Why do we Need Compliance?

International Regulatory Landscape

• Key Elements
• Principle based Vs Rules Based Approach
• Market Forces
• Regulation and Practice

Compliance in Practice

• The role of the Compliance department
• The role of the Compliance Officer
• The role of the Board
• Key compliance activities and processes
• Key compliance relationships

Ethics, Compliance and Governance Perspectives

• Ethics
• Compliance
• Governance

Other Key Compliance Areas

• Anti-money laundering
• Financial crime prevention
• Managing risk
• Enforcement Updated on 13 October, 2022