How To Become A Certified Compliance Officer

How To Become A Certified Compliance Officer – Certified Capital Markets Professional (CCMP) – Compliance 2 is designed for compliance professionals with relevant experience who want to improve their skills to be more effective as a compliance officer.

This program aims to strengthen and improve the functional skills of compliance professionals to be more effective as compliance officers.

How To Become A Certified Compliance Officer

This course provides a comprehensive overview of the principles of capital market regulation, which emphasize appropriate and correct behavior and the culture of compliance as an organizational commitment. The course provides further insight into regulatory expectations regarding compliance, where participants learn to balance the interests of regulators and the company. The different roles of business, compliance and internal audit in risk management to operate effectively, the duties, responsibilities and best practices for auditing and monitoring. Participants will also learn about current regulatory and compliance requirements in terms of disruptors in the digital future.

Financial Services Compliance

This course provides participants with the strategies and tools to detect and prevent the increasingly complex money laundering, fraud and terrorist activities carried out by the perpetrators, taking into account the risk profile, regulatory obligations and legal framework. This course covers current issues in AML, fraud and terrorist financing, including the latest regulatory approaches and insights into how compliance can support organizations to fight money laundering through the use of new risk management strategies and the use of the latest technology.

This course provides participants with the knowledge and skills required to effectively implement compliance principles and concepts and perform core functions, focusing primarily on integrated risk management, CDD, monitoring and evaluation of advisory functions and the development of a compliance program that focuses on to the culture of conformity.

This course will provide participants with the knowledge and skills to continuously improve the quality of service levels and solutions from customer focus, sales and marketing and to know your customer.

This course will provide participants with the knowledge and skills to perform their duties as professionals in the capital market in relation to corporate governance procedures, risk management in the context of compliance and ethical practices.

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This course provides an understanding and application of the concepts of strategy, financing, marketing and operations in the capital market and aligns them with changes occurring in business, socio-political, environmental and technological; Build successful sustainability-driven ventures that create value for multiple stakeholders in the capital market, especially from a compliance perspective.

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This course focuses on the principles and concepts of the Islamic Capital Market (ICM) and products available in the Malaysian market, from Shariah-compliant shares to Islamic structured products. Particular value is given to the case of the Malaysian market, although some international context is mentioned, for the purpose of additional knowledge. Specific examples, illustrations, facts and statistics are given so that the participants are aware of the current situation.

This course provides an introduction to FinTech developments, the link to RegTech and SupTech and how it promotes a donor capital market landscape through the development of a holistic FinTech ecosystem. It will also focus on FinTech fundamentals, key technology drivers and cyber security threats to build a strong and vibrant FinTech ecosystem.

This course provides an introduction to algorithmic and high frequency trading (HFT), how HFT is executed, and the future challenges of trading while maintaining robustness.

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This course provides insight into the digital initiatives led by the Securities and Exchange Commission of Malaysia, the various Digital Investment Management (DIM) frameworks, alternative financial platforms, Digital Asset Exchanges (DAX), Initial Exchange Offerings (IEO) and the Digital Asset Custodians ( DAC). The discussions in this program will also include the impact that the initiatives bring to the value chain of the capital market and how to flexibly adapt and respond differently to changes in the business.

This course provides an overview and context regarding cyber security compliance as the entity cannot afford to ignore information breaches, security breaches and other threats as skilled hackers tend to exploit the human factor through successful phishing scams and other cyber attacks. The key word is awareness because it is understood that the weakest link in the cause of the injury comes from the human factor. This session will also examine the capabilities and control measures of the system, emphasizing the context of regular testing to ensure information security and effective control.

In today’s dynamic and complex regulatory/business landscape, responding to trends and risks requires highly effective compliance officers equipped with the tools and resources to enhance their skills and influence. Compliance officers are an integral part of the pursuit of the organization’s business objectives to support and enable the business to achieve them in an ethical and compliant manner, as well as embed ethics and compliance in the culture of the organization .

Highly effective compliance officers are able to position themselves and their compliance programs so as to enable the successful realization of business objectives while ensuring and maintaining compliance. This requires a broad and advanced skill set that includes business knowledge, stakeholder relations, analytical and strategic thinking, and engagement and communication with regulators.

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Certified Compliance Officer

This course covers knowledge and skills for compliance professionals with relevant experience who wish to enhance additional skills to improve effectiveness as a compliance officer. This includes moving beyond compliance concepts and frameworks by enabling compliance professionals to take a hands-on approach to real-life issues encountered in the performance of their roles, managing broker-dealer businesses and ‘Regulations to engage and communicate.

For compliance professionals with relevant experience who want to further improve their skills to be more effective as a compliance officer

This course mainly offers participants the techniques to prepare different types of documentation for different purposes in accordance with capital market activities in accordance with regulatory requirements, industry standards and best practices, with a focus on compliance documentation and reporting. Quality technical writing for compliance purposes requires a deep understanding of how the capital market works, how regulations are managed and updated, how normal business practices are performed by capital market players, and ideas on how to circumvent compliance. This helps maintain a high standard of capital market compliance, following best practices to reduce opportunities for non-compliance. Compliance officers need the ability to interpret the regulation, the ability to do their own research, to be more proactive about compliance sensitivity, to communicate with clear information and to avoid any false information.

Participants can prepare various types of documents intended for capital market stakeholders in accordance with regulatory requirements, industry standards and best practices with a focus on compliance documentation and reporting.

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The compliance role requires an awareness of market and business requirements along with associated opportunities that can be successfully generated by engaging with a large number of stakeholders. This will enable a fusion of regulatory expectations, industry knowledge, experience and stakeholders to effectively execute the compliance function within the organization.

In this course, participants will learn how to identify stakeholders, perform stakeholder analysis, and analyze communication plans and organizational requirements. Participants will also learn different methods of activity engagement and when to use them to effectively perform the compliance role. One of the compliance team’s perennial issues is balancing their role between board reporting and communication with senior management. This is in addition to horizontal communication throughout the organization, which means that communication channels remain open to drive and promote a compliance experience organization.

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This program allows compliance professionals to use appropriate strategies, influence and persuasion techniques and communication tools to manage stakeholders in the management of compliance issues based on their organizations overall strategies and goals.

CCMP-C2, Essentials of Compliance: Case Studies and Communities of Practice (real-life scenarios) series will present real-life cases and scenarios to discuss and explore core compliance issues and their implications for business today. Through discussions, participants will address approaches taken when faced with similar situations, the rationale behind the decision made, consider best compliance practices, and learn from others in the industry.

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This program is designed to provide insight and equip capital market participants with in-depth understanding and approaches in dealing with compliance issues through case studies and real-life scenarios, starting with essential compliance concepts, functions, approaches, tools and skills across capital. . Market laws, regulatory principles and requirements, technical areas and general activities of intermediaries.

The 3 case studies briefly explain the facts of the relationship compliance issues that compliance officers face today. Analyze and discuss each situation and its practicality in approaching a regulatory violation from a compliance perspective.

This program mainly provides an overview of compliance concepts and issues from the perspective of real-life scenarios and the practical approach a compliance manager can take to manage them effectively. The financial crisis of 2008 led to increased regulatory scrutiny and increased the role of the compliance department in all types of organizations, from consulting to active monitoring, training and sometimes risk management.

The scope of the compliance function covers various areas of legal and regulatory compliance, corporate governance, business ethics, anti-laundering, corporate social responsibility, fraud and corruption. Compliance officers have now developed and are still developing their career path, and they are looking for an internationally recognized professional qualification to stand out and benefit their organizations by improving performance.

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