Introduction to Compliance
- Compliance, legal risk and Risk Management defined
- The three lines of defence model (roles and responsibilities, where do compliance and risk management ‘fit in’)
Are Compliance and Risk Management separate disciplines?
- Culture ('tone at the top’, enforcement and discipline, etc.)
- A comparison between Compliance and Risk Management
- Compliance methodology (risk identification, measurement, management, monitoring, reporting, Key risk indicators)
- Similarities with Risk Management
- Integrating Risk Management, Compliance, Internal Audit and other assurance providers
Moving from a cost centre to a value adding centre
- How do / can Compliance and Risk Management add value to the organisation?
- Some ‘real’ compliance stuff
International developments (SOX,FCPA, FATCA, UKB)
Local developments (POPI, CPA, other)
Aligned to the COP, Occupational Qualifications, international standards and best practice frameworks
Benefits of attending:
- Facilitate your understanding of integrated governance, risk management and compliance
- Evaluation of the effectiveness of the relevant governance, organisational structures and functions in the context of your own organisation and how to improve it
- An introduction to the tools, systems and procedures you need to evaluate, develop, implement and assure effectiveness in your organisation's compliance program
- Provides an approach to compliance for managers who are not legally trained
- You will be sensitised to the current regulatory environment and what to watch out for
Who should attend?
Risk managers, compliance officers, internal auditors, company secretaries, anyone responsible for risk management and/or compliance and who are considering an integrated approach to managing their risk and compliance programmes.
About the Presenter
Rianne is a Chartered Accountant and Compliance Practitioner with 29 years experience in various disciplines, a large portion of which she served as a senior member of the relevant management teams with various employers, responsible for key areas such as risk management frameworks, compliance, operational and financial controls. Her track records include establishing a compliance function from scratch in a corporate and merchant banking environment in South Africa as well as in its offshore and African subsidiaries.
Successful delivery of the Compliance Institute SA's professionalism project.