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Leadership Skills for Compliance Professionals
- Οργάνωση/ Διοίκηση/ Ηγεσία - Χρηματοοικ. Ασφαλιστικά Τραπεζικά - Νομοθεσία, Νομική & Δικηγόροι
Αγγλικά
20 ώρες
(
5 μέρες
)
ΠΕΡΙΓΡΑΦΗ
Participants in this course embark on a transformative journey, delving into the multifaceted dimensions of compliance leadership. From understanding the intricate interplay between ethical considerations, and industry benchmarks to honing crucial leadership competencies such as effective communication, decision-making, and stakeholder management, the curriculum is carefully curated to address the unique challenges faced by compliance professionals.
Central to the programme is the cultivation of ethical decision-making and integrity—the bedrock upon which effective compliance leadership rests. Through immersive learning experiences and practical exercises, participants develop frameworks for navigating ethical dilemmas and fostering a steadfast commitment to integrity in their professional endeavours.
ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ
By the end of the course programme, participants will obtain:
- Describe the unique challenges and opportunities inherent in compliance leadership roles.
- Specify the critical link between effective leadership and regulatory compliance outcomes.
- Identify ethical decision-making skills to navigate complex compliance dilemmas.
- Identify ethical reasoning through exploration of case studies and real-world scenarios.
- List strategies for fostering a culture of compliance and ethical behaviour within teams.
- Prepare techniques for motivating and empowering team members to excel in their roles.
- Express compliance policies, expectations, and updates effectively through enhanced communication skills.
- Convey stakeholder engagement techniques to build trust and collaboration across departments.
- Specify the dynamics of regulatory changes and their impact on compliance strategies.
- Separate change management skills to navigate organisational transitions and challenges effectively.
- Clarify personal resilience to navigate the pressures and complexities of compliance leadership.
- Correlate the principles of ethical leadership and integrity as pillars of effective compliance leadership
ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ
- Compliance Officers and Managers
- Compliance Analysts
- Legal and Regulatory Affairs Professionals
- Risk Management Professionals
- Internal Auditors
- Ethics and Integrity Officers
- Corporate Governance Professionals
ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ
Programme Outline
Introduction to Compliance Leadership
- Exploration of various leadership styles and their application in compliance.
- Introduction to key compliance frameworks and regulations relevant to leadership roles.
- Expectations for participation in group discussions, case studies, and practical exercises to reinforce learning.
Ethical Decision-Making Frameworks
- Deep dive into prominent ethical theories such as utilitarianism, deontology, and virtue ethics, and their relevance to compliance decision-making.
- Examination of real-world ethical dilemmas faced by compliance leaders, with a focus on analysing consequences and moral obligations.
- Introduction to decision-making frameworks like the Ethical Decision-Making Model or the 7-Step Approach to Ethical Decision Making
Simulation – Practical exercise
- Practical applications in compliance scenarios
Building and Leading High-Performing Compliance Teams
- Strategies for hiring and retaining top talent in compliance roles, including effective interviewing techniques and talent development programmes.
- Exploration of team dynamics and conflict resolution strategies specific to compliance teams.
- Introduction to performance management techniques tailored to compliance roles, including setting SMART goals and providing constructive feedback.
Communication Skills for Compliance Leaders
- Enhancing communication strategies to convey compliance policies and updates effectively.
- Effectively communicating with regulators and other authorities
- Advanced strategies for crafting clear and persuasive communication tailored to different stakeholders, including regulators, executives, and frontline employees.
- How to deliver difficult messages, such as enforcing disciplinary actions or addressing compliance breaches.
- Techniques for active listening and empathy in communication, fostering stronger relationships with team members and stakeholders
Role-playing exercises
- Role-playing exercises focused on delivering difficult messages, such as enforcing disciplinary actions or addressing compliance breaches.
Stakeholder Engagement and Collaboration
- Understanding stakeholder perspectives and building trust across departments.
- Identification of key stakeholders in compliance leadership roles and strategies for understanding their priorities and concerns.
- Managing regulators and management expectations
- Tools and techniques for building alliances and fostering collaboration across departments and business units
Case studies
- Case studies illustrating successful stakeholder engagement initiatives and lessons learned from failures.
Regulatory obligation the compliance function
- ESMA guidelines on MIFID II compliance function requirements
- CySEC Guidelines on Compliance Function Requirements
- Compliance risk assessment
- Monitoring obligations of the compliance function
- Reporting obligations of the compliance function
- Advisory and assistance obligations of the compliance function
Navigating Regulatory Changes
- Understanding the impact of regulatory changes on compliance strategies.
- Developing change management skills to adapt to evolving regulations.
- Examination of recent regulatory trends and their implications for compliance leadership, including the rise of digital regulations and international standards.
- Strategies for monitoring regulatory developments and implementing proactive compliance measures to stay ahead of changes.
Case studies
- Case studies of organisations that successfully navigated regulatory changes, highlighting best practices and pitfalls to avoid.
Cultivating Personal Resilience
- Understanding the importance of resilience in compliance leadership.
- Techniques for managing stress and maintaining personal well-being.
- Exploration of stress management techniques tailored to the demands of compliance leadership roles, including mindfulness practices and time management strategies.
- Introduction to resilience-building activities such as self-care routines, regular exercise, and hobbies outside of work.
Discussion
- Discussion on the importance of seeking support from mentors, peers, and professional networks to maintain resilience in challenging times.
Leading with Integrity
- Embracing ethical leadership principles and integrity as core values.
- Developing a personal leadership philosophy focused on integrity and accountability.
- Analysis of case studies illustrating the consequences of ethical lapses in compliance leadership, emphasising the long-term damage to reputation and trust.
- Development of a personal leadership philosophy centred on integrity, transparency, and accountability.
- Strategies for fostering a culture of integrity within compliance teams, including setting clear expectations, and modelling ethical behaviour.
Practical exercise
- Development of individual action plans outlining specific goals and strategies for applying leadership skills in compliance roles.
Conclusion/ Reflections
- Reflection on key learnings and insights gained throughout the course, including personal growth and areas for further development.
- Commitment to ongoing learning and professional development, including recommended resources and networking opportunities for continued growth.
Training Style
Participants in this course embark on a transformative journey, delving into the multifaceted dimensions of compliance leadership. From understanding the intricate interplay between ethical considerations, and industry benchmarks to honing crucial leadership competencies such as effective communication, decision-making, and stakeholder management, the curriculum is carefully curated to address the unique challenges faced by compliance professionals.
It will strive to enhance participants’ skills and knowledge via lectures supported by power-point presentations and practical examples. The training style is both training-focused, involving a combination of presentation and real-live examples, but also learner-focused, where participants are encouraged to raise questions, seek clarifications and share their opinions from their different perspectives and engage in an exchange of views and personal professional experiences.
CPD Recognition
This programme may be approved for up to 20 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.
Πληροφορίες Εκπαιδευτή
Λευκή Αγγελή - EQ Practitioner and Executive Trainer
Lefki Angeli, Corporate and Family Coach and Trainer, is a graduate and former practitioner in sociology and psychology and as such, she has a strong understanding of human behaviour and the motives that drive this.
During her 20+ year professional journey Lefki has worked in an array of fields including primary and secondary education, psychology, sociology, corporate market research and learning and development.
With an innate passion for human improvement and development, in all the positions Lefki has held, she has actively sought to be involved in, or entirely responsible for the training, development and coaching of those around her including colleagues and clients. As a result of this she has considerable experience in the training of business professionals of all levels and across industries and areas of specialty as well as in the teaching and coaching of children, and parents.
In addition to her experience in training needs identification and analysis Lefki has taught a vast gamma of subjects including English as a foreign language, qualitative research, emotional intelligence in the workplace and in the home, presentation skills, effective people management, effective communication, reflective listening, and many more.
Αναλυτικό Κόστος Σεμιναρίου
Για Δικαιούχους ΑνΑΔ
- € 950.00
- € 400.00
- € 0.00
- € 550.00
Για μη-Δικαιούχους ΑνΑΔ
- € 950.00
- € 0.00
- € 180.50
- € 950.00
ΠΡΟΓΡΑΜΜΑ ΣΕΜΙΝΑΡΙΟΥ
Τετάρτη - 13 Νοε 2024
Ώρα
09:00 - 13:30
ΕΚΠΑΙΔΕΥΤΗΣ:
Λευκή ΑγγελήΤοποθεσία:
OnLine Virtual Classroom
Τετάρτη - 20 Νοε 2024
Ώρα
09:00 - 13:30
ΕΚΠΑΙΔΕΥΤΗΣ:
Λευκή ΑγγελήΤοποθεσία:
OnLine Virtual Classroom
Παρασκευή - 22 Νοε 2024
Ώρα
09:00 - 13:30
ΕΚΠΑΙΔΕΥΤΗΣ:
Λευκή ΑγγελήΤοποθεσία:
OnLine Virtual Classroom
Τετάρτη - 27 Νοε 2024
Ώρα
09:00 - 13:30
ΕΚΠΑΙΔΕΥΤΗΣ:
Λευκή ΑγγελήΤοποθεσία:
OnLine Virtual Classroom
Παρασκευή - 29 Νοε 2024
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09:00 - 13:30
ΕΚΠΑΙΔΕΥΤΗΣ:
Λευκή ΑγγελήΤοποθεσία:
OnLine Virtual Classroom
Εκδήλωση Ενδιαφέροντος : Leadership Skills for Compliance Professionals
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CySEC 20 CPD Bundle 7...
The course includes: Governance, Risk Management and Compliance Fundamentals of Environmental, Social & Governance (ESG) Reporting & Compliance Ethics...
31/01/2025 12:23
Αγγλικά
eLearning
CySEC 15 CPD Bundle 6...
The course includes: Insider Dealing and Market Manipulation European Market Infrastructure Regulation (EMIR) Overview Treating Customers Fairly and H...
31/01/2025 12:23
Αγγλικά
eLearning
CySEC 20 CPD Bundle 6...
The course includes: Best Execution Overview AIF – Alternative Investment Funds Understanding Securities Financing Transaction Regulation – SFTR Fin...
31/01/2025 12:23
Αγγλικά
eLearning
FCA – The Role and Approach...
This course seeks to explain the role the FCA plays in the financial services sector and its position within the overall UK economy. We look at the structure of...
31/01/2025 12:23
Αγγλικά
eLearning
CySEC 10 CPD Bundle 5...
The course includes: AML Suspicious Activity Reports and Suspicious Transaction Reports (SAR/STRs) Market Abuse Regulation Overview Best Execution Ove...
31/01/2025 12:23
Αγγλικά
eLearning
AGRC Certificate in Sanctions Compliance...
The AGRC’s Compliance Sanctions Certificate’s Curriculum AGRC’s Certificate covers the following specific topics: – Definition of sanctions – Framework...
31/01/2025 12:23
Αγγλικά
eLearning
The Fund Industry: Latest Regulatory Framework...
Description This course offers a comprehensive introduction to AIF, AIFM, AIFMD, and UCITS. It addresses the various categories and legal forms of AIFs, the ...
31/01/2025 12:23
Αγγλικά
eLearning
Finance for Law Firms...
This course is tailored for law firms and practicing lawyers, providing essential insights and practical knowledge to navigate legal compliance and mitigate ass...
31/01/2025 12:23
2 ώρες (1 ημέρα)
Αγγλικά
eLearning
CySEC 10 CPD Bundle 3...
The course includes: ICAAP – Internal Capital Adequacy Assessment Process Financial Crime Risk Management Ethics and Compliance ...
31/01/2025 12:23
Αγγλικά
eLearning
CISI International Introduction to Investment...
Description The International Introduction to Investment offers a broad introduction to the financial services professional sector, with a specific focus on ...
31/01/2025 12:23
Αγγλικά
eLearning
CySEC 15 CPD Bundle 4...
The course includes: Fundamentals of Environmental, Social & Governance (ESG) Reporting & Compliance Financial Crime Risk Management Digital Operation...
31/01/2025 12:23
Αγγλικά
eLearning
CySEC 10 CPD Bundle 8...
The course includes: Market Abuse Regulation Overview Best Execution Overview Ethics, Integrity and Fairness in Financial Services Digital Operation...
31/01/2025 12:23
Αγγλικά
eLearning
CySEC 15 CPD Bundle 8...
The course includes: Advanced Anti-Money Laundering for Financial Institutions International Economic Sanctions Product Governance, Suitability and Ap...
31/01/2025 12:23
Αγγλικά
eLearning
CySEC 20 CPD Bundle 3...
The course includes: ICAAP – Internal Capital Adequacy Assessment Process Fundamentals of Environmental, Social & Governance (ESG) Reporting & Complianc...
31/01/2025 12:23
Αγγλικά
eLearning
CySEC 15 CPD Bundle 1...
The course includes: MiFID II Overview European Market Infrastructure Regulation (EMIR) Overview Anti-Money Laundering and Terrorism Financing Fundame...
31/01/2025 12:23
Αγγλικά
eLearning
CySEC 20 CPD Bundle 4...
The course includes: Anti-Bribery and Anti-Corruption Anti-Money Laundering and Terrorism Financing Fundamentals Corporate Governance for Financial In...
31/01/2025 12:23
Αγγλικά
eLearning
AML Suspicious Activity Reports and Suspicious Transaction Reports (SA...
This self-paced, online course provides an overview of AML, the measures needed for efficient AML controls, Suspicious Transaction Monitoring, and Suspicious Ac...
31/01/2025 12:23
Αγγλικά
eLearning
UCITS - Undertakings for Collective Investments in Transferable Securi...
Description This course offers a comprehensive introduction to the Undertakings for Collective Investments in Transferable Securities (UCITS). It addresses t...
31/01/2025 12:23
Αγγλικά
eLearning
CySEC 15 CPD Bundle 5...
The course includes: Corporate Governance for Financial Institutions International Economic Sanctions Fundamentals of Environmental, Social & Governan...
31/01/2025 12:23
Αγγλικά
eLearning
GDPR General Data Protection Regulation Staff Awareness...
Description This course examines GDPR from a Staff Awareness perspective. You will appreciate the need, scope and concepts of GDPR as well as learn about the...
31/01/2025 12:23
Ελληνικά
eLearning
CySEC 10 CPD Bundle 4...
The course includes: European Market Infrastructure Regulation (EMIR) Overview Practical Aspects of the Compliance Function Ethics and Compliance ...
31/01/2025 12:23
Αγγλικά
eLearning
MiFID II Overview...
Description This course offers a brief overview of MiFID II. It addresses the changes to the market structure under MiFID and MiFID II, and provides a sound ...
31/01/2025 12:23
Αγγλικά
eLearning
CySEC 10 CPD Bundle 2...
The course includes: Anti-Money Laundering and Terrorism Financing Fundamentals Fundamentals of Risk Management Market Abuse Regulation Ove...
31/01/2025 12:23
Αγγλικά
eLearning
AAT - The Business Environment...
This course equips students with key business concepts and practical skills necessary for navigating the dynamic and digital global business environment. It cov...
31/01/2025 12:23
Αγγλικά
eLearning
AIF - Alternative Investment Funds...
Description This course offers a comprehensive introduction to the Alternative Investment Funds (AIF). It addresses national and EU issues, reflecting the le...
31/01/2025 12:23
Αγγλικά
eLearning
Financial Instruments and Products...
Description This course offers a condensed review of the financial services sector, with a specific focus on equities, stocks, bonds, derivatives and other f...
31/01/2025 12:23
Αγγλικά
eLearning
Fundamentals of Investment and Finance...
Description This course offers a general review of the financial services sector, with a specific focus on investments from a global perspective. The focus o...
31/01/2025 12:23
Αγγλικά
eLearning
Creating a Compliance Culture in Financial Services (2 CPDs)...
Course Overview The aim of this self-paced eLearning course is to equip financial professionals, leaders, and compliance professionals with a comprehensive ...
31/01/2025 12:23
Αγγλικά
eLearning
Conflict of Interest (COI)...
Conflict of Interest Course (FCA) This course provides staff with an understanding of Conflict of Interest, the laws and regulations that make it illegal, and t...
31/01/2025 12:23
Αγγλικά
eLearning
CySEC 20 CPD Bundle 8...
The course includes: Advanced Anti-Money Laundering for Financial Institutions Know your Client (KYC) and Customer Due Diligence (CDD) ICAAP – Interna...
31/01/2025 12:23
Αγγλικά
eLearning
AGRC Certificate in AML...
The AGRC’s AML Certificate’s Curriculum AGRC’s AML Certificate covers the following specific topics: – Money laundering methods, techniques, red flags and...
31/01/2025 12:23
Αγγλικά
eLearning
Fundamentals of Environmental, Social & Governance (ESG) Reporting & C...
Generally speaking, sustainable finance can be defined as the process of considering Environmental, Social and Governance (ESG) factors when making investment d...
31/01/2025 12:23
Αγγλικά
eLearning
Assessing and Managing AML Risks...
This course outlines the need for combating ML risks and other financial crimes. Financial institutions must be able to respond to threats on a contextual basis...
31/01/2025 12:23
Αγγλικά
eLearning
AGRC Certificate in Compliance...
Faced with increasingly regulated environment, this programme offers insight into good compliance practices and the skills to lead effective compliance programm...
31/01/2025 12:23
Αγγλικά
eLearning
Market Abuse and Regulation...
Description This course will provide a comprehensive review of Market Abuse and the respective regulatory environment. It will cover inside information and i...
31/01/2025 12:23
Αγγλικά
eLearning
Fundamentals of Risk Management...
Description This course offers a condensed review of risk management, with a specific focus on operational, credit and market risks. The course also covers r...
31/01/2025 12:23
Αγγλικά
eLearning
CySEC 15 CPD Bundle 7...
The course includes: Governance, Risk Management and Compliance ICAAP – Internal Capital Adequacy Assessment Process Digital Operational Resilience Ac...
31/01/2025 12:23
Αγγλικά
eLearning
CySEC 20 CPD Bundle 1...
The course includes: Risk Based Approach (RBA) to Anti Money Laundering AML Suspicious Activity Reports and Suspicious Transaction Reports (SAR/STRs) ...
31/01/2025 12:23
Αγγλικά
eLearning
Anti-Bribery and Anti-Corruption...
Description This course offers a comprehensive review to bribery and corruption, and the effects of both. It addresses the forms of bribery, provides statist...
31/01/2025 12:23
Αγγλικά
eLearning
Information Security for Law Firms...
This specialized course is tailored for law firms, providing essential knowledge and practical skills to navigate data protection obligations and cybersecurity ...
31/01/2025 12:23
3 ώρες (1 ημέρα)
Αγγλικά
eLearning
CySEC 20 CPD Bundle 5...
The course includes: The Fund Industry: Latest Regulatory Framework Know your Client (KYC) and Customer Due Diligence (CDD) Risk Based Approach (RBA) ...
31/01/2025 12:23
Αγγλικά
eLearning
Regulatory Fundamentals for the Financial Services Sector...
Description This course offers a comprehensive review of the major regulations, directives and regimes of financial firms. It includes MiFID II, EMIR, Anti-M...
31/01/2025 12:23
Αγγλικά
eLearning
CySEC 10 CPD Bundle 6...
The course includes: Financial Regulation: The International Regulatory Environment Governance, Risk Management and Compliance Digital Operational Res...
31/01/2025 12:23
Αγγλικά
eLearning
Ethics and Compliance...
This course will help you to increase your personal ethics and explore your obligations to act with integrity in all aspects of your work and professional relat...
31/01/2025 12:23
Αγγλικά
eLearning
AIFM - Alternative Investment Fund Managers...
Description This course offers a comprehensive introduction to the Alternative Investment Fund Managers (AIFM). It addresses the application of the AIFM Law,...
31/01/2025 12:23
Αγγλικά
eLearning
European Market Infrastructure Regulation (EMIR) Overview...
Description This course offers a comprehensive overview of the EMIR. It addresses the EMIR requirements, the types of counterparties and the clearing obligat...
31/01/2025 12:23
Αγγλικά
eLearning
Anti-Money Laundering and Counter Terrorist Finance...
This course provides staff with an understanding of the process of money laundering, the laws and regulations that make it illegal, and the responsibilities of ...
31/01/2025 12:23
Αγγλικά
eLearning
AML 4th and 5th Directives Overview...
When the EU issues an anti money laundering directive, it also sets an implementation date by which appropriate AML/CFT legislation must be in place within memb...
31/01/2025 12:23
Αγγλικά
eLearning
CySEC 15 CPD Bundle 3...
The course includes: Market Abuse and Regulation Treating Customers Fairly and Handling Complaints in the Financial Services Sector ...
31/01/2025 12:23
Αγγλικά
eLearning
Practical Aspects of the Compliance Function...
Description This course offers a practical review of the compliance function. It addresses the roles, responsibilities and mission of the compliance officer,...
31/01/2025 12:23
Αγγλικά
eLearning
Establishing and Maintaining a Strong CDD Programme...
A key concern and significant risk for financial institutions is the possibility of unknowingly becoming complicit in money laundering, whereby illegitimate mon...
31/01/2025 12:23
Αγγλικά
eLearning
Equity, Diversity and Inclusion...
Our Equity, Diversity and Inclusion training incorporates real life experiences, provides a background to relevant workplace legislation, and information on the...
31/01/2025 12:23
Αγγλικά
eLearning
AAT - Personal Tax...
This course provides students with a fundamental understanding of the three most common taxes in the United Kingdom: income tax, capital gains tax, and inherita...
31/01/2025 12:23
Αγγλικά
eLearning
AAT – Cash and Financial Management...
This course emphasizes the crucial role of cash management within organizations and equips students with the necessary skills to make informed financing and inv...
31/01/2025 12:23
Αγγλικά
eLearning
Internal Capital Adequacy Review Assessment (ICARA)...
Welcome to our self-paced eLearning course on the Internal Capital Adequacy Review Assessment (ICARA) process for Investment Firms. The ICARA Process requiremen...
31/01/2025 12:23
Αγγλικά
eLearning
AAT - Tax Processes for Businesses...
This course teaches students the tax processes essential for daily business operations, focusing on understanding, preparing, and submitting Value Added Tax (VA...
31/01/2025 12:23
Αγγλικά
eLearning
AAT – Audit and Assurance...
This course addresses the growing importance of audit and assurance in the global business environment, particularly as organizations operate internationally an...
31/01/2025 12:23
Αγγλικά
eLearning
Conduct Rules for All Staff...
This module provides an overview of the individual Conduct Rules introduced by the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PR...
31/01/2025 12:23
Αγγλικά
eLearning
Corporate and Social Responsibility for Law Firms...
The legal profession is increasingly recognizing its role in addressing social and environmental challenges. This course explores the concept of corporate socia...
31/01/2025 12:23
Αγγλικά
eLearning
Consumer Duty...
In July 2022, the Financial Conduct Authority, or FCA, published a policy statement, with final rules, on its Consumer Duty initiative. This comprises a new pri...
31/01/2025 12:23
Αγγλικά
eLearning
AAT – Credit and Debt Management...
This course focuses on the principles and application of effective credit control and debt management systems. Organizations often extend credit to customers, w...
31/01/2025 12:23
Αγγλικά
eLearning
AAT - Principles of Costing...
This course introduces students to basic costing principles, laying the groundwork for more advanced topics in costing and management accounting. It highlights ...
31/01/2025 12:23
Αγγλικά
eLearning
AAT - Introduction to Bookkeeping...
This course introduces students to both manual and digital bookkeeping systems, focusing on their documents, processes, and basic principles such as double-entr...
31/01/2025 12:23
Αγγλικά
eLearning
Business Ethics...
This course offers a comprehensive review of business ethics and its importance in today's businesses and professionals. The course covers ethical dilemmas and ...
31/01/2025 12:23
Αγγλικά
eLearning