Chief Compliance Officer (CCO) Programme

3 days 9-11 Aug 2017, London UK £3,645.00 + VAT* Download brochure Add to basket
5 days 22-26 Oct 2017, Manama Bahrain £3,295.00 Download brochure Add to basket

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Best-practice essentials of being modern and strategic, executive-level compliance professional.

An Advanced Course in Compliance Risk Management, designed specifically for senior financial professionals managing Compliance Risk Management, the course covers the intricate alignment, management, and implementation of the compliance vision in support of the firm’s mission with behavioral integrity as the cornerstone.
 The course instructor, a long term senior financial services executive and currently a dean and professor with over 20 years’ experience in compliance and risk will cover: the integrative nature of compliance in the overall firm mission and corporate governance structure; behavioral compliance (that is, the emerging field that focuses on the use of social science concepts in psychology and economics influencing behavior built upon integrity and values); the appropriate development and use of risk metrics; a deep and broad path to development of a corporate compliance culture; the integrative nature of compliance in the risk spectrum, the CCO’s challenge of communication and organizational behavior; development and management of an end to end compliance programme; and current compliance and risk challenges such as stressing testing and CCAR.

Key course highlights include;

  • In-depth discussion of the roles and responsibilities of the CCO
  • Understand how compliance fits into the organisation and corporate governance structure
  • Understand behavioural compliance and how to implement effectively in your organisation
  • Introduction of various tools and methods for developing and using the best risk metrics
  • Global regulatory update
  • How to motivate and retain the right people
  • Guidance in how to address internal political as well as practical challenges in establishing an effective compliance function and executing the CCO role
  • How to communicate and report effectively as a CCO

Who should attend

This course has been specifically designed for the benefit of:

  • Existing and aspiring Heads of Compliance / CCOs
  • Senior Compliance Officers
  • Risk Managers/Director’s
  • Control Function Managers
  • Legal Department Managers
  • Management Consultants
  • Investment Banking Administrative Officers
  • Treasurers
  • Financial decision makers in corporations
  • Strategists


We work with a series of expert instructors, please select the course location of interest to review the credentials of who will be delivering the programme.

Mario J. DiFiore

The course director is a Assistant Dean, Senior Advisor and Adjunct Professor, Gabelli School of Business, Fordham University, New York (Former Co-Global Head and Director of Compliance Training, Deutsche Bank AG, Commercial and Investment Bank)

He joined Fordham’s GSB Administration, July 2010 after a 25 year career on Wall Street and the Federal Reserve Bank of New York.  Prior to joining Fordham, he was Director and Co-Global Head of Deutsche Bank AG’s Compliance Training Group for the Commercial and Investment Bank (CIB), as well as the Head of Americas Compliance Training. He was responsible for one of the largest financial regulation and Compliance training programs on Wall Street. 

In addition to his career at Deutsche Bank AG, the course director was an Assistant Director at Ten Squared LLP, a medium-sized hedge fund, as well as the Continuing Education Manager for Prudential Securities.  He began his career with the Federal Reserve Bank of New York where he spent over 12 years in the Research and Statistics, International Affairs, and Public Information areas. 

In addition to his current university post teaching at Fordham, he has taught Finance, Economics, and Business courses at New York University, Baruch College of the City University of New York, Pace University, SUNY Empire State College, and the Mountbatten Institute (St. Mary’s College of the University of Surrey, UK).  He is a former member of the Securities Industry and Financial Markets Association (Continuing Education Committee) and serves as a consultant to Deutsche Bank AG. The course director received his MBA and BA (summa cum laude) from Fordham University. 


Mario Mosse

Mario Mosse has 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.

Recent activities include the development and delivery of several seminars and webinars on various risk management and compliance topics to risk professionals in the United States and Latin America.

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, including Chief Risk Officer for the Corporate Finance Sector and South America Regional Audit Executive.

Mosse has extensive knowledge of U.S. and international financial services and products, including retail and corporate banking, securities brokerage, investment banking, asset management, and life insurance. He also has in-depth knowledge of risk management and internal control frameworks such as Basel II and III, Solvency II and COSO, including new product development, risk and control self-assessment, key risk indicators, loss event data capture and analysis, capital allocation and control issue tracking and reporting.

Mosse is fluent in Spanish and Portuguese. He studied Economic Science at Faculdade Candido Mendes in Rio de Janeiro, Brazil and was a Certified Bank Auditor, holding FINRA Series 7, 24 and 63 licenses.



Central London Hotel Venue

All courses are held at four or five star venues in Central London, Zone 1. We strive to provide you with a training environment of the highest quality, to ensure that the whole learning experience exceeds your expectations.

Your training venue will be confirmed by one of our course administrators approximately 3-4 weeks before the course start date.


Manama Hotel

This programme takes place on a non-residential basis at a central Manama Hotel. Non-residential course fees include training facilities, documentation, lunches and refreshments for the duration of the programme. Delegates are responsible for arranging their own accommodation.


Related Courses



Do you have five or more people interested in attending this course? Do you want to tailor it to meet your company's exact requirements? If you'd like to do either of these, we can bring this course to your company's office. You could even save up to 50% on the cost of sending delegates to a public course.

To find out more about running this course in-house:

Our Tailored Learning Offering

If you want to run this course at a location convenient to you or if you want a completely customised learning solution, we can help.

We produce learning solutions that are completely unique to your business. We'll guide you through the whole process, from the initial consultancy to evaluating the success of the full learning experience. Our learning specialists ensure you get the maximum return on your training investment.


We can offer any of our public courses delivered at your office or we can devise completely tailored solutions:

Read more about our offering or complete a call back request to speak to a learning specialist.



Agendas are localised, please select your preferred location.

Day 1

Setting The Stage

  • It’s the Stress that Will Kill You:  Stressing Testing and the interconnecedness of Compliance and Risk across the organization
  • Compliance in the Corporate Governance Spectrum:  appropriate alignment of the compliance function in the organization’s corporate governance structure
  • It All Begins With Why: an investigation into the development of a corporate compliance culture built upon the emerging field of behavioral finance and behavioral compliance; introduction to the neuroscience that underlies behavior in a compliance environment
  • End to End:  Development of the appropriate rubrics in building and managing an effective end to end Compliance Programme
  • Case Study 1:  Misalignments and the escalation of inappropriate compliance systems
  • The Appropriate Use of Metrics and their Effective Communication for Issue Spotting, Escalation, and Resolution
  • Kicking the Tires:  Internal, Pre-emptive Compliance Stress Testing


Day 2


Where Do I Fit In:  Compliance and its effective management through understanding the intricate areas of risk management:

  • Enterprise Risk Management
  • Liquidity Risk Management
  • Credit Risk Management
  • Operational Risk Management
  • Compliance Risk Management
  • Legal Risk Management
  • Market and Portfolio Risk Management
  • Reporting What Matters:  designing effective meetings and structures across the business lines and the control functions to obtain the appropriate data and information for an effective compliance department to function
  • Research in the Areas of Compliance and Risk Management
  • Developing an Effective Compliance and Risk Training Programme:  design and implementation of a detailed and effective Training
  • Needs Analysis and Training Plan
  • Developing an Effective Compliance Risk Assessment Matrix:  design and implementation of a detailed and effective Compliance
  • Risk Assessment Matrix
  • Compliance and Risk Simulation:  application of concepts through a multi-tiered compliance and risk simulation including role playing, break outs, data, negotiation, and resolution


Day 3


  • Deep Dive:  Anti-Money Laundering and Combatting Terror Financing. The morning will be devoted to the development of an effective anti-money laundering programme and its implementation and management in a financial services institution.  The exercise is conducted by a step by step methodology that includes the organizational risk profile; management risk appetite and tolerance, the client onboarding process; effective KYC and KYI methodologies, developing monitoring and surveillance systems and reporting; appropriate reporting and escalation; scenario testing; and decision making.
  • Understanding the Business to Understand Compliance
  • Staffing:  What Makes for An Effective Compliance Officer:  skill sets; qualities; and experience
  • Best Practices in the Management of the Compliance Function
  • Emerging Compliance Issues Around the Globe
  • Compliance Resources and Tools

Wrap Up


Day 1

Risk Management and Compliance with Laws and Regulations
  • Introduction
  • Regulatory compliance and risk management - definitions, roles and responsibilities
  • Principles of corporate governance
  • The new international landscape and the interaction between laws, regulations and professional standards
  • Benefits of an enterprise-wide compliance program
  • Compliance Culture: why it’s so important and how to communicate regulatory obligations
  • Policies, procedures and the code of ethical conduct
  • Privacy and information security
  • Management of confidential information
  • Conflicts of interest
  • The fair treatment of customers, suppliers and competitors
  • Reporting ethical concerns
  • Governance, Risk and Compliance (GRC)
  • How to identify, assess and control risks effectively
  • Approaches to risk assessment

Day 2

Risk and Compliance Framework
  • Bank for International Settlements
  • Basel Committee on Banking Supervision
  • Basel Capital Accords
  • Regulatory Capital
  • Principles for the Sound Management of Operational Risk
  • Financial Stability Board
  • Systemically Important Financial Institutions (SIFIs)
  • Internal control and compliance frameworks
  • Sarbanes-Oxley Act and similar legislation
  • Risk and compliance committees
  • Compliance stress testing
  • Reporting to senior management, board of directors and regulators
  • Research in the Areas of compliance and risk management
  • Developing an Effective Compliance and Risk Training Program
  • Case studies: major compliance scandals and their root causes


Day 3 


Developing and Implementing an Effective Regulatory Tracking and Policy Management Process
  • Developing a legislative and regulatory tracking program
  • Developing a regulatory classification process mapped to your organization’s enterprise risk taxonomy
  • Designing a regulatory change management workflow covering all steps from identification to final implementation
  • Understanding roles and responsibilities in the regulatory change management workflow
  • Conducting a business impact analysis to understand regulatory change impact on your business
  • Mapping regulations to policies so that you know what policies to review when regulations change
  • Developing an effective communication and training programs to ensure impacted associates are current with regulatory change
  • Tracking and reporting action plans to ensure that changes have been made to policies and standard operating procedures:
  • Understanding corporate mission, vision, principles and values
  • Designing a process lifecycle for developing and managing company policies and procedures
  • Developing an effective approach to policy issuance and maintenance
  • Understanding the purpose of principles, policies, guidelines and procedures
  • Establishing policy ownership and accountability
  • Providing consistency in policies through consistent style and language
  • Communicating policies and training staff on their application
  • Obtaining evidence that new policies and significant changes have been properly implemented
  • Monitoring indicators to establish effectiveness and/or issues with policies

Day 4 

Anti-Money Laundering and Anti-Terrorism Financing Compliance
  • Current situation and required tasks in the context of international anti-money laundering regulation
  • Current regulatory requirements regarding international anti-money laundering
  • Best practice in anti-money laundering in leading international banks
  • On boarding and Know Your Customer (KYC) programs
  • Account monitoring
  • US sanctions programs
  • Suspicious Activity Reporting (SAR) background and history
  • SAR regulatory requirements
  • SAR within the AML/CTF framework
  • The SAR program and process: policies and procedures
  • Risk and control assessment
  • Case studies in money laundering and terrorist financing
  • Feedback and process improvements

Day 5 

Anti-Bribery and Anti-Corruption (ABAC) and Foreign Account Tax Compliance Act (FATCA)
  • Foreign Corrupt Practices Act (FCPA), UK Bribery Act and the growing number of international corruption regulations
  • Bribery in business transactions
  • Illegal or corrupt payments to government officials
  • Applicability of the Act
  • What does a corrupt act means under FCPA
  • Who is governed under the anti-bribery provisions?
  • How to shield your organization from corrupt practices
  • FATCA historical background and context
  • Key FATCA aims and objectives
  • The impact of FATCA (Classification, Reporting, Withholding)
  • Other significant international regulations
  • Wrap up



Why us

We have a combined experience of over 60 years providing learning solutions to the world’s major organisations and are privileged to have contributed to their success. We view our clients as partners and focus on understanding the needs of each organisation we work with to tailor learning solutions to specific requirements.

We are proud of our record of customer satisfaction. Here is why you should choose us to help you achieve your goals and accelerate your career:

  • Quality – our clients consistently rate our performance ‘excellent’ or ‘outstanding’. Our average overall score awarded to us by our clients is nine out of ten.
  • Track record – we have delivered training solutions for 95% of worlds’ top 100 banks and have trained over 250,000 professionals.
  • Knowledge – our 150 strong team of industry specialist trainers are world leading financial leaders and commentators, ensuring our knowledge base is second to none.
  • Reliability – if we promise it, we deliver it. We have delivered over 20,000 events both in person and online, using simultaneous translation to delegates from over 180 countries.
  • Recognition – we are accredited by the British Accreditation Council and the CPD Certification Service. In an independent review by Feefo we scored 96% on service and 95% on product