Chief Compliance Officer (CCO) Programme

3 days 27 Feb - 1 Mar 2017, London UK £3,645.00 + VAT* Download brochure Add to basket
3 days 9-11 Aug 2017, London UK £3,645.00 + VAT* Download brochure Add to basket

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Overview


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

A three day 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

Instructors

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.

London
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. 


 

Venue

London

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.

Related Courses

Inhouse

We can bring this course to your company's office.

If you simply 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. Our tailored learning solutions are designed specifically for your organisation’s needs.

We’ll be here to support you every step of the way. From the initial consultancy through to evaluating the success of the full learning experience. We'll ensure you get the maximum return on your training investment.

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Agenda

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

 
Alignment

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

 

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