- Explain and discuss compliance risk assessment
- Discuss the use of rating scales to assess and prioritise the risks applicable to an organisation
- Explain how an organisation will categorise their compliance universe as ‘core, topical or secondary’
- Based on an example, compile a compliance risk profile of an organisation
- Explain how to obtain business involvement during the process of compiling an organisation’s compliance risk profile
- Discuss the different compliance techniques that may be used during compliance risk assessment, e.g. risk and control self-assessment, compliance risk profile workshop, etc.
Who should register?
Financial planners, financial advisors, para-planners and business owners will benefit from enrolling for this course.