An Interactive 5-Day Training Course
Compliance Regulatory Professionals
Perform Better by Protecting the Firm from Compliance Risk
Course Overview
This Saudi GLOMACS Compliance Regulatory Professionals training course is designed to provide with the knowledge and skills needed to understand and support regulatory compliance and enterprise wide risk management. Also, to know how to deal with the rules, the markets, products and transactions, to promote best practices and international standards that align with business and regulatory requirements.
This is an intensive and highly practical training course qualifying you to become proficient in compliance. It provides the necessary skills to build right relation with your regulators, your board of directors and to deal with individuals at all levels of your organization.
This training course also covers several topics regarding the regulatory bodies for all firms to establish and maintain effective systems and controls, to develop effective compliance monitoring program and to build a risk based Customer Due Diligence (CDD) process. It provides you with the best techniques to manage effectively and responsibly in compliance with all applicable laws and regulations. As well the advanced tools to protect your business from compliance risk and supports you with professional standards and internal policies in corporate governance and risk management.
Training Outline
DAY 1: The Regulatory Environment and the Role of Regulators
- An Overview of the Regulatory Environment
- The Objectives of Financial Services Regulation
- International Regulation
- The Role of the Regulators
- What do the Regulators expect?
- Your Jurisdiction Environment
- The Best Practice in Regulatory Obligation
- ISO 19600: Compliance Management Systems
DAY 2: The Compliance Functions
- Compliance Structure
- The Role of the Board of Directors, the Supervisors, the Internal and External Auditors
- Responsibilities of the Compliance Officer
- Key Compliance Activities and Processes
- Compliance and Corporate Governance
- Corporate Governance and Financial Crime Prevention
- Compliance Training
- Conflicts of Interest
- Ongoing Compliance with Laws and Regulations
DAY 3: Risk Management and Compliance Risk
- Understanding a Risk Management Approach
- Creating a Risk Management Approach
- The Definition of Governance, Risk and Compliance
- The Need for Internal Controls
- Identify, Mitigate and Control Risks Effectively
- Approaches to Risk Assessment
- The Importance of Compliance Culture
- Managing Key Relationships – external and internal
DAY 4: Establishing an Effective Compliance Function
- Factors to be Considered in Designing a Compliance System
- Developing an Internal Compliance System
- Implementing and Communicating Internal Compliance Arrangement
- Compliance Manual
- Establishing Policies and Procedures
- Creating a Compliance Monitoring Program
- The Need for Independence
- Record Keeping ƒ Compliance Reports
- Managing the Regulators and Change in Regulations
DAY 5: Managing the Risk of Money Laundering and Financial Crimes
- Understanding Money Laundering Offences
- MLRO and Compliance Officer
- The Risk-based Approach to Money Laundering / Terrorist Financing
- Suspicious Activity Monitoring, Detection and Reporting
- Preventing Fraud
- Bribery and Corruption
- Insider Trading
- Market Abuse
- Sanctions and their Role in the Global Economy
Certificates
- On successful completion of this training course, GLOMACS Certificate will be awarded to the delegates
- Continuing Professional Education credits (CPE) : In accordance with the standards of the National Registry of CPE Sponsor, one CPE credit is granted per 50 minutes of attendance
Accreditation
GLOMACS is registered with NASBA as a sponsor of Continuing Professional Education (CPE) on the National Registry of CPE Sponsors. NASBA have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.
All Training Seminars delivered by GLOMACS by default are eligible for CPE Credit.
Providers and Associations
About Saudi Glomacs
At Saudi GLOMACS, we specialize in delivering world-class training courses in Saudi Arabia and across various international locations. Our training courses are tailored to meet the unique demands of Saudi Vision 2030 and the Human Capability Development Program, focusing on empowering Saudi citizens and enhancing workforce skills. We offer diverse courses spanning leadership, management, engineering, and technical disciplines to cultivate expertise and drive professional growth. Our flexible learning options—whether in-person, online, or in-house—ensure accessibility and convenience for individuals and organizations alike.
With over 30+ years of experience through the GLOMACS global network, we are committed to delivering innovative, results-driven training solutions. Our expert instructors combine industry knowledge with dynamic teaching methods, fostering practical skill development and long-term career success. By choosing Saudi GLOMACS, you're investing in personal excellence and contributing to the Kingdom’s sustainable economic growth and vision-driven transformation.
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