Compliance Management - Introduction: Laws & Regulations

Stanley Epstein is a Keynote Speaker at Compliance Key. He holds a Masters degree in Economics and a BCom. degree in Accounting from the University of South Africa, Pretoria. He has extensive and wide-ranging banking and IT experience, including 33 years with the Standard Bank of South Africa, where during the 1990s he filled an industry level role holding several key positions in the area of electronic payments/banking. His extensive exposure to banking practice and banking operations extends to many countries including the USA, United Kingdom, South Africa, Israel, Europe and Australia. Duri........


Creating a culture of compliance is an important risk management strategy. Recent corporate collapses have reflected the need for good corporate governance and an effective compliance program is an integral part of this structure. This introduction to Compliance Management provides a blueprint for compliance professionals to follow to ensure that the risk profile in his/her organization is limited by a thorough understanding of the individual regulatory environment.

Why should you attend this webinar?

This is the first of a series of seven new webinars on the subject of Compliance Management.

Attending the full series will allow:
  • Participants will be able to define the meaning of compliance in their firm / organization and be able to develop an organizational response to its demands.
  • Participants will know and understand what drives their firm's / organization's compliance exposure both in their home countries and abroad.
  • Participants will understand the risk consequences of non-compliance.
  • Participants will appreciate the relationship between corporate governance and compliance, including the market expectation of that relationship.
  • Participants will understand the implications of regional legislation (such as Sarbanes Oxley in the U.S.A. for corporate accountability and ethical behavior.
  • Participants will understand how to produce a corporate compliance program tailored to their own organization.
  • Participants will learn how to optimize their organizational structure to ensure maximum compliance.

Areas Covered in the Session:

  • The GRC trilogy
  • Governance, Risk Management and Compliance
  • The compliance officer
  • Key functions of the compliance department
  • Regulation
  • Corporate governance
  • Corporate governance principles for banks
  • Risk governance - A thematic review
  • A risk governance framework
  • Internal controls - Governance, Risk and Compliance
  • Risk management - A wider view
  • OECD principles of corporate governance

Who can Benefit:

  • Financial officers
  • Credit officers
  • Risk officers
  • Compliance officers
  • Business analysts
  • Transaction bankers
  • Line of business managers
  • Governance professionals
  • Compliance Officers
  • Internal and External Auditors
  • Financial Controllers/ Officers
  • Operations Managers
  • Treasurers
  • Board Members
  • Business Managers
  • Operational Risk Managers
  • General (legal) counsel
  • CFOs (Chief Financial Officers)
  • COO (Chief Operating Officers)
  • CRO (Chief Risk Officers)

Webinar Id: CKSE002

Training Options:

Duration: 90 mins


 10:00 AM PT | 01:00 PM ET

 Single Attendee: [Only for one participant]

$179 (Live)                    $286 (Live + Recorded)

 Multiple Attendee: [For a group of 2-5 participants]

$453 (Live)                    $811 (Live + Recorded)

 Corporate Attendee: [For a group of 6-10 Participants]

$896 (Live)                    $1324 (Live + Recorded)

 Recorded: [Six month unlimited access]

$193 (Single Attendee) $449 (Unlimited Attendee)

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