COURSE TITLE: COMPLIANCE & REGULATORY RISKS MANAGEMENT
Course Description: This course is designed to provide students with an understanding of the principles and practices of compliance and regulatory risk management. The course will cover regulatory compliance obligations, legal risks associated with these obligations, compliance and ethics program development, audit procedures, organizational operations improvement, and regulatory audit/investigation response.
Learning Outcomes: Upon completion of this course, students will be able to:
- Understand the importance of compliance and regulatory risk management in today’s business
environment. - Identify the compliance obligations of an enterprise.
- Assess the legal risks associated with these obligations.
- Develop a compliance and ethics program that effectively mitigates these risks.
- Develop appropriate audit procedures to analyze program effectiveness.
- Correct and improve organizational operations by follow-up monitoring, process change, and
education. - Lead a response to a regulatory audit or investigation.
Course Outlines: The course will cover the following topics:
- Introduction to Compliance and Regulatory Risk Management
- Framework for compliance and regulatory risk management
- Regulatory Compliance Obligations
- Legal Risks Associated with Compliance Obligations
- Compliance and Ethics Program Development
- Compliance and Regulatory Risks Assessment
- Audit Procedures
- Organizational Operations Improvement
- Regulatory Audit/Investigation Response
Benefits of the Course: This course will provide students with the knowledge and skills to manage compliance and regulatory risks in today’s business environment. Students will learn how to identify compliance obligations of an enterprise, assess legal risks associated with these obligations, develop a compliance and ethics program that effectively mitigates these risks, develops appropriate audit procedures to analyze program effectiveness, correct and improve organizational operations by follow-up monitoring, process change, and education, lead a response to a regulatory audit or investigation.
Target Audience: This course is designed for professionals responsible for managing compliance and regulatory risks within their organizations. This includes risk managers, compliance officers, auditors, legal professionals, and other professionals responsible for ensuring their organization complies with applicable laws and regulations.
