Tutor:Irina Yanioglova
Category:Other Courses
Lessons:19
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Module 1Compliance Introduction
Lecture 1What is Compliance?
Lecture 2Who is Responsible for Compliance?
Lecture 3Regulation of Compliance
Lecture 4The Compliance Function in Financial Institutions
Lecture 5Compliance Policies and Procedures
Lecture 6The Role and Responsibilities of Compliance Officers
Lecture 7Financial Regulation and Compliance Models
Lecture 8Compliance Models in Financial Firms
Lecture 9Regulatory Oversight of the Compliance Function
Module 2Compliance Monitoring and Testing
Lecture 10Why is Compliance Monitoring Important?
Lecture 11Regulatory Expectations
Lecture 12Scope and areas of monitoring activity
Lecture 13Key Elements of Compliance Monitoring
Lecture 14Compliance Monitoring Process
Lecture 15Producing and Issuing Reports
Lecture 16Title of the Report
Lecture 17Templated Reporting
Lecture 18The Report
Lecture 19Remediation and Issue Closure