Compliance Risk Assessment & Monitoring Program

Explore effective methods for monitoring compliance and ensuring adherence to regulations in an ever-evolving financial landscape.

• BOD and Compliance Function Responsibilities.
• Compliance Risk Assessment.
• Operational Risk.
• Risk Management.
• Departmental Risk Register.
• Compliance Monitoring Program and Risk Assessment.
• Compliance Monitoring Vs. Internal Audit.
• Tools and Technology.
• Practical Approach.
• Compliance Function Annual Report.