Certificate in Compliance

Here’s your starting point to a rewarding and successful career in compliance!

Learn the ins and outs of compliance for the financial services industry with LGCA and become a certified professional member of the fastest growing GRC association out there.

Every organization faces a myriad of risks that can threaten its operations, reputation, and bottom line. A robust, effective compliance program can make the difference between companies that successfully navigate those risks, and those that become cautionary tales.

Faced with increasingly regulated environment, this programme offers insight into good compliance practices and the skills to lead effective compliance programmes that supports ethical conduct and commitment to compliance.

This certificate programme will introduce the essential elements of effective organizational compliance by exploring the concepts, considerations, and strategies for assessing risks and managing the compliance function. You will learn the fundamental principles of effective compliance, the components of an effective compliance program and their applications.

In addition, you will explore the foundational principles of compliance: what are the sources of compliance requirements; where are the requirements found; what behavior satisfies “compliance;” and how do compliance personnel motivate compliant behavior throughout their organization.

Expected Learning Outcomes

By acquiring the Certificate, participants are expected to be able to:

• Comprehend and maintain awareness of compliance requirements
• Organise and monitor the operation of compliance management system
• Implement processes for the management of breaches in compliance requirements
• Provide education and training on compliance requirements and systems
• Promote and liaise on compliance requirements, systems and related issues
• Promote compliance with a sound understanding of the requisite legislation
• Show leadership in the workplace
• Identify risk and apply risk management processes
• Manage projects
• Undertake compliance audits

Certificate Content

Compliance
• Compliance Programs
• Compliance Perspectives
• Why do we Need Compliance?

International Regulatory Landscape
• Key Elements
• Principle based Vs Rules Based Approach
• Market Forces
• Regulation and Practice

Compliance in Practice
• The role of the Compliance department
• The role of the Compliance Officer
• The role of the Board
• Key compliance activities and processes
• Key compliance relationships

Ethics, Compliance and Governance Perspectives
• Ethics
• Compliance
• Governance

Other Key Compliance Areas
• Anti-money laundering
• Financial crime prevention
• Managing risk
• Enforcement

Certificate Format

• Register at any time for this online, open certificate
• Study in your own time and at your own pace (you have up to 3 months to complete the certificate)
• Assessed by online multiple-choice exam

Exam Format

• Type: Multiple choice, closed book online exam
• Duration: Two hours
• Pass mark: 70%
• Number of questions: 100

What is included

• 25 hours of self-paced online interactive learning including analysis of 4 practical case studies
• 1-year free AGRC membership
• Practice Questions
• Online Exam and AGRC Certificate

Staff working in or aspiring to work in the compliance area

• New graduates from any discipline
• Staff involved in risk functions and internal or external audit
• Those wanting to build a career in compliance in the fields of: Banking – Insurance – Other financial services

No previous knowledge or experience is required though it is assumed that participants have good knowledge of English and sound educational background.

Compliance Officer, Head of Compliance, Compliance Director