Chief Compliance Officer (CCO) Programme

Euromoney Learning Solutions

Euromoney Learning Solutions


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About the course

Master best practice in modern, executive-level compliance risk management

This advanced 5-day course in compliance risk management will refine your understanding of how to align, manage, and implement a compliance vision that supports your firm’s mission with behavioural integrity as the cornerstone.

Led by a long-term senior financial services executive who is currently a dean and professor with over 20 years’ experience in compliance and risk, the Chief Compliance Officers (CCO) Programme combines a range of learning methods to examine:

  • The integrative nature of compliance in the overall firm mission and corporate governance structure behavioural compliance
  • The emerging field that focuses on the use of social science concepts in psychology and economics to influence behaviour built upon integrity and values the appropriate development and use of risk metrics the development of a corporate compliance culture and the CCO's challenge in influencing communication and organisational behaviour
  • The integrative nature of compliance in the risk spectrum the development and management of an end-to-end compliance programme today's most pressing compliance and risk challenges such as stressing testing and CCAR

Attend this intensive 5-day course and:

  • Discuss and debate the roles and responsibilities of the CCO with like-minded peers
  • Understand how compliance fits into the organisation and corporate governance structure
  • Understand behavioural compliance and how to implement effectively in your organisation
  • Learn how to use various tools and methods to develop and use the best risk metrics
  • Update your knowledge of the latest global regulations
  • Learn how to motivate and retain the right people
  • Gain guidance in how to address internal political as well as practical challenges in establishing an effective compliance function and executing the CCO role
  • Improve your ability to communicate and report effectively as a CCO


*Day 1 *

Setting The Stage

Compliance in the Corporate Governance Spectrum: appropriate alignment of the compliance function in the organization’s corporate governance structure. It All Begins With Why: an investigation into the development of a corporate compliance culture built upon the emerging field of behavioral finance and behavioral compliance; introduction to the neuroscience that underlies behavior in a compliance environment.

  • End to End: Development of the appropriate rubrics in building and managing an effective end to end Compliance
  • ProgrammeCase Study 1: Misalignments and the escalation of inappropriate compliance systemsThe Appropriate Use of Metrics and their Effective Communication for Issue Spotting, Escalation, and Resolution
  • Kicking the Tires: Internal, Pre-emptive Compliance Stress Testing

Day 2


Where Do I Fit In: Compliance and its effective management through understanding the intricate areas of risk management:

  • Enterprise Risk Management
  • Liquidity Risk Management
  • Credit Risk Management
  • Operational Risk Management
  • Compliance Risk Management
  • Legal Risk Management
  • Market and Portfolio Risk Management

Reporting What Matters: designing effective meetings and structures across the business lines and the control functions to obtain the appropriate data and information for an effective compliance department to function

  • Research in the Areas of Compliance and Risk Management
  • Developing an Effective Compliance and Risk Training Programme: design and implementation of a detailed and effective
  • Training Needs Analysis and Training Plan
  • Developing an Effective Compliance Risk Assessment Matrix: design and implementation of a detailed and effective
  • Compliance Risk Assessment Matrix

Compliance and Risk Simulation: application of concepts through a multi-tiered compliance and risk simulation including role playing, break outs, data, negotiation, and resolution

Day 3

Deep Dive: Anti-Money Laundering and Combatting Terror Financing.

The morning will be devoted to the development of an effective anti-money laundering programme and its implementation and management in a financial services institution.

The exercise is conducted by a step by step methodology that includes the organizational risk profile; management risk appetite and tolerance, the client onboarding process; effective KYC and KYI methodologies, developing monitoring and surveillance systems and reporting; appropriate reporting and escalation; scenario testing; and decision making.

  • Understanding the Business to Understand Compliance
  • Staffing: What Makes for An Effective Compliance Officer: skill sets; qualities; and experience
  • Best Practices in the Management of the Compliance Function
  • Emerging Compliance Issues Around the Globe
  • Compliance Resources and Tools

It’s the Stress that Will Kill You: Stressing Testing and the interconnecedness of Compliance and Risk across the organization

Day 4

AntiMoney Laundering and AntiTerrorism Financing Compliance

  • Current situation and required tasks in the context of international antimony laundering regulation
  • Current regulatory requirements regarding international antimony laundering
  • Best practice in antimony laundering in leading international banks
  • On boarding and Know Your Customer (KYC) programs
  • Account monitoring
  • US sanctions programs
  • Suspicious Activity Reporting (SAR) background and history
  • SAR regulatory requirements
  • SAR within the AML/CTF framework
  • The SAR program and process: policies and procedures
  • Risk and control assessment
  • Case studies in money laundering and terrorist financing
  • Feedback and process improvements

Day 5

AntiBribery and Anticorruption (ABAC) and Foreign Account Tax Compliance Act (FATCA)

  • Foreign Corrupt Practices Act (FCPA), UK Bribery Act and the growing number of international corruption
  • regulations
  • Bribery in business transactions
  • Illegal or corrupt payments to government officials
  • Applicability of the Act
  • What does a corrupt act means under FCPA
  • Who is governed under the antibribery provisions?
  • How to shield your organization from corrupt practices
  • FATCA historical background and context
  • Key FATCA aims and objectives
  • The impact of FATCA (Classification, Reporting, Withholding)
  • Other significant international regulations


Mario Difiore

The course director is Assistant Dean, Senior Advisor and Adjunct Professor, Gabelli School of Business, Fordham University, New York (Former Co-Global Head and Director of Compliance Training, Deutsche Bank AG, Commercial and Investment Bank) He joined Fordham’s GSB Administration, July 2010 aft...

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Chief Compliance Officer (CCO) Programme at Euromoney Learning Solutions

From  GBP 4 895$6,957
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Coursalytics is an independent platform to find, compare, and book executive courses. Coursalytics is not endorsed by, sponsored by, or otherwise affiliated with any business school or university.

Full disclaimer.

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