Compliance Risk Management

Euromoney Learning Solutions

Euromoney Learning Solutions


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Who should attend

  • New Compliance Officers
  • Risk Managers
  • Control Function Managers
  • Legal Department Managers
  • Management Consultants
  • Equities Sales and Trading Desk Operations Managers
  • Fixed Income Sales and Trading Desk Operations Managers
  • Investment Banking Administrative Officers
  • Treasurers
  • Financial decision makers in corporations
  • Strategists

About the course

Learn how to effectively structure and lead a successful compliance function

Compliance Risk Management is designed with specific pedagogy and definitive techniques to actively engage delegates in the collective content, skill sets, and integrative practice of a Compliance function.

This design enables delegates to deepen their practice, whilst permiting front, middle and back office professionals to be robustly prepared for optimal compliance, risk and control decisions.

Indeed, guided by the instructor’s use of integrative learning methodologies, each delegate will be prepared to address the skill sets (reinforced through virtual and electronic simulations, role plays, and integrative case study exercises) required to advance in their current and future positions throughout the firm. Using interdisciplinary strategies and content, we will address the alignment of mission translated and applied through the Compliance, Risk, and Control functions; the skill sets of negotiation; effective communication strategies; intensive data analysis; quantitative and qualitative metrics on a unilateral, multilateral, and predictive basis; behavioral and cognitive sciences for optimal decision making; and hard research in the areas of conduct, integrity, trust, ethics, and compliance culture.

The course instructor, a dean and professor at a top US business school, a PhD candidate, former Federal Reserve senior professional, and former Director and Global Head managing one of the largest Compliance Training programs on Wall Street, brings a wealth of experience to the delegates. The strategic goal is to empower and challenge delegates for meaningful, effective, and productivity through improvement of an end to end best practice compliance programme.

*Attend this topical 3-day course and learn: *

  • How to successfully structure and manage an effective compliance function
  • The immediate impact of an ineffective compliance program
  • The comprehensive loss of revenue, trust, and reputation resulting from a weak compliance environment
  • How regulatory changes can quickly impact your organization and bottom line
  • How to prepare for intense regulatory scrutiny and examinations
  • From multiple case studies that globally illustrate cultures of compliance and strong compliance departments

This course has been specifically designed for the benefit of:

  • New Compliance Officers
  • Risk Managers
  • Control Function Managers
  • Legal Department Managers
  • Management Consultants
  • Equities Sales and Trading Desk Operations Managers
  • Fixed Income Sales and Trading Desk Operations Managers
  • Investment Banking Administrative Officers
  • Treasurers
  • Financial decision makers in corporations
  • Strategists

Credited by GARP - Global Association of Risk Professionals (GARP)


Day One

Setting The Stage

Welcome, Introduction and Challenge

  • Course Goals and Expectations: Introduction to Simulations, Role Plays and Interactive Exercises
  • Interconnected and Intertwined: The Depth and Breadth of Risk Across the Spectrum.


Where Do I Fit In: Compliance and its effective management through understanding the intricately related 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

This module identifies the interconnectedness of risk across the firm from a financial services perspective. By review of the 2007-2008 financial crisis, we will tie the impact of the crisis to Compliance, Risk, and Control functions, and the response each made to tackle its aftermath. Through a detailed diagnostic, delegates will be able to gain insight into applying best practices in the management of Compliance and Control in a preventative and detective environment.

Interactive Online Group Simulation

Utilizing an electronic team-based simulation, delegates will work together to identify mission, goals, objectives, strategies in a virtual game simulation facilitated by the instructor. Teams will learn the challenges of effectively defining mission, aligning it to objectives, resources, negotiating strategies and making decisions in order to accomplish a near-life challenging task.

Simulation Debrief and Application to Compliance, Risk and Control Functions.

As delegates apply the lessons of mission, strategy, negotiation, and decision making in the simulation, the instructor will apply each to that of the effective Compliance function.

Governance and Compliance Organizational Structures

Delegates will be review the best practices in building an effective Compliance Function. The instructor will analyze in detail COSO Framework, BIS White Paper on Effective Compliance, SIFMA, and Banking Standards Board documents on the effective Compliance Compliance Rubric

After a detailed analysis of the major, best practices in building a Compliance Function, delegates will further investigate the detective and preventative functions within the Compliance function and the responsibilities in the three (3) layers of defence.

Application: Identifying the best practices of an organizational framework for Compliance. Two case studies are reviewed in order to apply different structures used in varying types of financial institutions.

Introduction to Behavioral and Cognitive Sciences Applied to Compliance and Risk Functions This introduction will review the second full day of the course in which delegates will see the cognitive and behavioral basis for compliance and ethics decision making.

Who Are You: Online Personality Assessment. Conduct Risk and Compliance Culture are definitively intertwined in that conduct is not only a personal decision but also one influenced by the culture of the organization. Delegates will review their Big Five Personality Assessment while the instructor will provide insights into traits that lead to a healthy compliance environment.

Day Two

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 Compliance Development

Development of the appropriate rubrics to build, maintain, and manage an effective end to end Compliance Programme

Case Study:

Misalignments and the escalation of inappropriate compliance systems. Through a globally applicable case study from a leading international journal, the Journal of Financial Compliance, delegates will analyze a real global bank’s failure to develop an effective Compliance culture, until a major reorganization, criminal cases, and an official investigation prompted development of one. In the end, it did not ever have to come to this, but it did. We will diagnose the causes, identify healthy structures and rubrics that could have supported the development of an effective Compliance culture.

Behavioral Finance, Cognitive Science, and Optimal Decision Making in Compliance and Risk

The identification of behavioral finance concepts, cognitive science, and decision making will be explored in detailed in order to assist delegates in understanding and influencing decision making. With specific application to Compliance, delegates will be introduced to game theory, heuristics, and cognitive biases that impact compliance-centered decision making both for the front office and Compliance and Control functions. Although Compliance supports the business in compliance and regulatory guidance, often business lines as well as middle and back office personnel may make decisions that are not intended for fraud, but simply are out of compliance with a specific rule, regulation, law, policy, procedure or best practice. This module will utilize the areas of behavioral and cognitive sciences to help identify those things that will influence compliance decision making.

Interactive, Electronic Simulation Exercise

Continuation of the Behavioral, Cognitive and Compliance Culture Module through an instructor-guided electronic simulation that identifies the behavioral short cuts that we make in decision making. The module is further supplemented through video analysis of cognitive and behavioral issues that influence poor decision making with the goal of influencing improved Compliance-related decision making.

Deep Dive: Financial Crime, Anti-Money Laundering and the Risk Based Approach

This segment is devoted to the development of an effective anti-financial crime programme with an emphasis on anti-money laundering programmes. 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.

It’s All About The Data.....and Of Course, the Decisions We Make Surrounding That Data!

An introduction to the next day’s module on the effective use of metrics, communications, and negotiation between compliance

Day Three

The Appropriate Use of Metrics, Communications, and Negotiation

Through an intensive investigation of unilateral, multilateral, quantitative, qualitative and predictive metrics in both content and financial areas as well as in compliance culture, we will review specific metrics and reporting that support an effective, interactive, and dynamic Compliance function in a financial services firm.

Interactive Electronic Simulation

Through a popular interactive online simulation, delegates will attempt to parse through data in order to learn effective strategies in data analysis. We will identify the most effective strategies learnt in the simulation to apply later in the day to further strengthen the effective Compliance function.

Utilizing the lessons learnt in the data analysis simulation, we will apply them to development of effective reporting, communication and escalation in Compliance.

Delegates will then build policies, procedures, and specific reports and metrics with application to their own firms.

Bringing It All Together

After identifying the best practices in Compliance for the first two days, through the international guidelines for effective Compliance; the cases studies and interactive simulations that reinforce the skill sets needed to apply those guidelines in a real world, practical setting, this module brings together the learning, insight and perspective to various functions within Compliance.

  • 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 Aligned to Mission, Strategy and Objectives
  • Live Action Compliance and Risk Simulation: application of concepts through a multi-tiered compliance and risk simulation including role playing, break outs, data, negotiation, and resolution
  • 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

Review, Comments, and Challenge


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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Compliance Risk Management at Euromoney Learning Solutions

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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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