Chief Compliance Officer (CCO) Programme

3 days 27-29 Nov 2017, Manama Bahrain £2,000.00 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


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 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.



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.


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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.



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


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