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THE COMPLIANCE OFFICER - ROLE AND FUNCTION IN BANKING
 
     
  Summary Description  
  The workshop explores the rationale of the compliance function as an independent activity and clarifies the role, responsibilities, and authority of those who hold the position of Compliance Officer as well as of stakeholder within bank management and the board of directors. It also focuses on the practicalities of planning, preparation, execution and control of a Compliance Plan tailored to the specific needs of the bank in the current regulatory environment.  
     
  Methodology  
  Presentations, case studies, group work and classroom discussion  
     
  Target Audience  
  Compliance Officers, Managers of Business and Support Units, Senior Managers, and Board Members  
     
  Main Topics  
 
Purpose and importance of the compliance as a functional area, the
  Compliance Officer position, and organizational models
Determining the bank’s key compliance needs and objectives given pertinent,
  applicable laws regulations and policies as well as the strengths and
  weaknesses of the compliance function in the context of the external and
  internal compliance environment
  Strategies, resources, key success factors, and best practices to improve the
  formulation and effective implementation of a compliance plan
 
       
 
  Duration  
  2 days  
     
   
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