CERTIFIED COMPLIANCE PROFESSIONAL

Sam focuses on regulatory compliance in financial services and learning development in corporates. Being local to Singapore and having worked in Asia for 10 years, Sam has a deep understanding of cultural drivers and nuances for both regulatory and L&D successes. With an extensive background in corporate training across compliance, anti-money laundering (AML), financial crime and soft skills, Sam helps companies establish their training and development needs by reviewing their existing standards and processes, and offering guidance on areas for further improvement. Sam has trained clients under the Singapore Workforce Development Agency (WDA) Workforce Skills Qualification (WSQ) framework. He has worked on

course and content design, development and delivery under multiple competency standard frameworks, including the Institute of Banking and Finance Standards (formerly FICS). In recent years, Sam has helped establish a number of financial services Compliance Academies.Sam holds a Diploma in Anti-Money Laundering and regularly speaks and produces content on this topic as well as other related regulatory topics. He is a Certified Compliance & Ethics Professional (International) with the Society of Corporate Compliance & Ethics, holds an Advanced Certificate in Training & Assessment from the Institute of Adult Learning, and is an associate trainer with the Aventis School of Management, as well as a corporate facilitator with PD Training.

Sam Gibbins

Expert Trainer

2www.leoron.com

This program is designed to provide a holistic overview of compliance. All professionals with responsibility for compliance will benefit by attending, specifically:

» Compliance Officers/Managers and their Deputies » Managers with responsibility for internal

compliance controls » Managers and Executives » Professionals Risk Managers » Legal Advisers and Lawyers » Auditors and Audit Managers » Regulatory Representatives » Accountants » Company Secretaries

WHO SHOULDATTEND?

LEORON Professional Develop-ment Institute is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing pro-fessional education on the Na-tional Registry of CPE Sponsors.

State boards of accountancy have final authority on the acceptance of individual courses for CPE credit.

Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

5 KEY TAKE AWAYS

1 Taking GRC to the next level; understanding governance, ethics, risk and compliance

2 Understanding the complete regulatory environment

3 Managing regulatory and compliance risk for the benefit of your firm

4How to design and build world class GRC systems and controls, aligned to ISO 19600 (Compliance Systems)

5Protecting your firm from the risk of mon-ey laundering, financial crime, and terrorist financing

The Internation-al Academy of Business and Fi-nancial Manage-ment™ is one of

the world’s fastest growing professional associations with more than 200,000 members, associates and af-filiates in 145 countries. IABFM™ hosts and organizes certification training worldwide and offers exclusive board designations to candidates who meet the high-est professional standards and assessment criteria.

The IABFM is credited by the American National Standards Institute (ANSI) the International Stan-dards setting authority.

COURSE OBJECTIVES

This course places the role of the GRC professional in an array of overlapping contexts in order to help students attain a deep, immersive analysis of the field, the work and its discrete functions. From surveying the broader global regulatory frameworks that underpin compliance to exploring the responsibilities and powers that devolve onto the Securities Commission Malaysia, we proceed to a considered study of the function of, and industry roles associated with, compliance. From there we examine how to manage compliance risk, adopting a rigorous risk management approach, before delving into the idiosyncratic complexities posed by Capital Markets products

The aim is to provide students with a practical understanding of:

» Both the macro and micro pressures associated with GRC

» How to manage regulatory and compliance risk for the benefit of your firm

» How to design and build world-class GRC systems and controls, aligned to ISO 19600 (Compliance Systems)

» How to protect your firm from the risk of money laundering, financial crime and terrorist financing

July 22-26, 2018 | Dubai, UAE

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5 KEY COMPLIANCE BUILDING BLOCKS

We put our training content together in consultation with our clients, partners and industry bodies, and with an acknowledg-ment that just as a mature organisation is in constant review and continual improvement, so is the field of education and training. In particular we took guidance from discussions we had around the need for a new global standard for compliance programs and training, and how that might be interpreted for our clients and this region.

ISO 19600 has been developed to address compliance programs across a wide range of areas and gives guidance to the elements to consider when developing any current and forward looking compliance certification.

Using the below framework of concepts, principles, and ideas, from the ISO19600 standard, we have developed 5 Key Com-pliance Building Blocks, which we use as a framework when building education and training content for compliance. This allows course attendees to develop an appreciation of global standards and benchmarks for compliance, not aligned to one specific regulatory power, or set of national standards, but taking a holistic view of where regulatory standards are heading. This also makes qualifications more easily transferable, allowing delegates to build skills which are readily understood across ever changing transnational boundaries.

GRC Solutions uses a 5 stage process to advance organisations and individuals to a mature, sustainable state of Compliance effectiveness. These building blocks will be referenced throughout our training, allowing individuals to take back principles and theory, as well as actionable ideas, to their organisations, allowing a greater degree of organisational development.

Culture: » Embedding compliance in the

mindsets and behaviours to bring about genuine cultural change

» Incorporating compliance culture into recruitment, re-muneration and performance management processes

» Designing the governance structure (eg. ownership, del-egation, committee charters, policy, procedure, work in-structions)

Compliance Planning: » Defining optimal outcomes for

the business and stakeholders » Setting standards and measur-

able controls » Defining optimal outcomes for

the business and stakeholders

Compliance Assessment: » Understanding where specific

compliance risks arise and encouraging stakeholders to actively identify and address them

» Ensure compliance tools are used in the spirit in which they were developed and not as tick and flick exercise

Governance, Policies, Training and Controls: » Creating clear ownership and responsibility for compliance within the business » Understanding where compliance, risk and governance interact and clearly communicating this to the business » Development and deployment of clear policies and training across the business » Clear communication about compliance risks – personal, managerial and organisational

Monitoring and Continuous Improvement: » Designating reporting to identify indicators at an early stage or before they crystalise » Implementing the necessary protocols to ensure that the right people have access to reporting information in a

timely manner » Respond to the changing environment by continuously improving the process

July 22-26, 2018 | Dubai, UAE

4www.leoron.com

COURSE OVERVIEWThe Certified Compliance Professional course will provide participants with the relevant skills and knowledge, both in theory and in practice, to undertake the role of a compliance professional. The content covers key area needed to move, both as an individual, and as an organisation, towards a state of sustainable compliance, achieving compliance maturity through enhanced Governance, Risk and Compliance frameworks and principles.

Using international benchmarks and standards, we will cover key areas of best practice, aligning these to regulatory requirements and developing key skills used by compliance practitioners.

Module 1Global Regulatory Frameworks

» Overview of the global regulatory environment » Models of Regulatory and Compliance development » The objectives of financial services regulation » International comparisons and cross jurisdictional challenges » The role of the regulators » What do the Regulators expect? » ISO 19600: Compliance Management Systems » The regional regulatory environment » Using regulatory and compliance toolkits » Key regulatory inventory » Identification and management of cross border complexity » Impact and understanding of FATCA and OECD Com-mon Reporting Standards

Module 2The Compliance Function

» An introduction to compliance » Compliance structure » The role of the board of directors, the supervisors, the internal and external auditors

» The Role and Responsibilities of Chief Compliance officer » Key compliance risk inventory » Compliance risk data: Collect, Comprehend, Communicate » General principles of crafting written policy and pro-cedures » Key compliance activities » Who are the Stakeholders? » Corporate Governance and Financial Crime Prevention » Compliance training » Conflicts of interest » Ongoing compliance with laws and regulations » The company and other stakeholders » Toolkits used to keep stakeholders up-to-date on compliance status within the organization » Managing the regulators and change in regulations » Creating a Compliance Monitoring Program » General principles for performing Compliance Moni-toring Testing » Raising compliance issues arising from Compliance Monitoring Testing

Module 3Compliance Risk Management

» Understanding a Risk Management Approach » Risk Management Approaches and the Risk Based Approach » The need for Internal Controls » Understand how to identify, mitigate and control risks effectively » Approaches to risk assessment » Risk assessment on approving a conflict request » Risk culture » Conduct risk

Module 4Financial Crime Risk

» Understanding Money Laundering » International frameworks, agencies, and regulatory bodies » Financial services vulnerability » The role of the MLRO » Development of the Risk Based Approach » Understanding terrorist financing » Suspicious Transaction/Activity Monitoring, Detec-tion and Reporting » Designing an effective internal reporting system » Managing the investigation process » Bribery and Corruption » Insider Trading » Market Abuse » Sanctions and their role in the global economy » Trade Based Money Laundering » Third Party Risks and Due Diligence » Cyber Security » Investigating Financial Crime

Module 5Ethics, Governance, and Culture

» What is Compliance Culture? » The Values Led Mindset » Changing and embedding culture » Why does Governance matter? » Key Corporate Governance Principles

July 22-26, 2018 | Dubai, UAE

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PROGRAMTIMINGS

Registration will begin at 08.00 on Day One.

The program will commence at 08.30 each day and continue until 16.30.

There will be two refreshment breaks and lunch at appropriate intervals.

TRAINING METHODOLOGY

Professional facilitators carry out our training with well-developed group and classroom management skills in a non-critical environment, which encourag-es individuals to practice skills that are being taught. We do not sit individuals down and talk through a stack of PowerPoint slides; we engage them and dis-cuss core ideas and concepts to bring their ideas and energy out, cementing the regulatory and commer-cial principles we are promoting in their mind. This course does not focus on an unattainable set of KPI’s, but rather achievable principles that can be readi-ly utilised, adapted, and developed in an everyday working Compliance environment.

Discussion points and simulations, aligned with a structured training plan and real life scenarios, allow individuals to develop the skills necessary for suc-cess. Handouts will be used when necessary, but in-dividuals are encouraged to make use of the sessions to take their own notes, practising the vital audio, visual and kinaesthetic skills which are vital in their role, learning how to process and store information which they will later be required to recall.

IN-HOUSE If interested to run this course in-house please contact Goran Gakidev at +971 4 447 5711 or e-mail: goran.gakidev@leoron.com

DISTANCE LEARNING PROG. If interested to run this course with our distance learning program please contact Agron Kurtishi at +971 4 447 5711 or e-mail: agron.kurtishi@leoron.com

“The CCP training “course” was “off course” very valuable and enjoyable”: this was the feelings among all participants at

the end of this course. Really, it helped me to be aware of the most updated international standards of AML, compliance and corporate governance and covered all points which will reflect positively on my professional performance. Many thanks to Leoron for organizing such excellent and valuable training course”

HISHAM AL SUKKARYDoha Bank - Kuwait

TESTIMONIAL

Delivery Type Group Live

Pre-requisites None

Level Advanced Training

This Program is worth 35 NASBA CPE credits

» Corporate Governance and Financial Crime Prevention » Governance, Risk and Compliance: the framework » Policy frameworks and technical development » Policy procedures and obligations » Corporate Maturity

- What is Maturity? - The underlying process - The Maturity Framework - Developing and implementing your Corporate Ma-turity framework and pathways

Module 6Compliance as a Business Advisor

» Communication Skills » Leading to influence » Negotiation tactics » Team management and assessment » Time management » Operational management » Objection handling » Questioning for benefit » The art of listening » Commercial acumen » Chairing and running a committee » The art of breaking a piece of bad news » Succession planning

July 22-26, 2018 | Dubai, UAE

6www.leoron.com

TERMS & CONDITIONS

1. Payment Terms for LEORON Professional Development Institute (hereafter LEORON PDI)a. 100% payment of the amount in maximum 15 days upon the receipt of the invoice. b. The payment shall be conducted either in cash, credit/debit card, cheque or bank transfer. c. The stated amount is exclusive of Withholding Tax and other duties, taxes and transfer related charges which if

applicable are payable by the client in addition to the stated amount.2. Cancelation and Postponement Policy

a. All cancelations and postponements shall be done in written form.b. In case of client cancelation:

i. No cancelation fee if the cancelation takes place not less than 14 days prior to the beginning of the course,ii. 50% cancelation fee if the cancelation takes place between 7 days and 14 days prior to the beginning of the course,iii. 100% cancelation fee if the cancelation takes place less than 7 days prior to the beginning of the course,

c. In case of client postponement, i. LEORON PDI issues a credit note which states that the paid amount can be used for participation in any of the

company’s courses which are scheduled in a period of 12 months from the date of the credit note.ii. A 25% postponement fee if the postponement takes place less than 10 days prior to the beginning of the course

d. In case of LEORON PDI cancelation:i. A 100% refund shall be applicable if LEORON PDI decides to cancel the event - the client has an option to receive

a credit note which can be used for any course for a period of 12 months.ii. In case of LEORON PDI postponement - the client may choose to participate on the same course at the later date or

to be issued a credit note which states that the paid amount can be used for participation of any of the company’s courses which are scheduled in a period of 12 months from the date of the credit note.

3. Selection of Trainer and LocationSelection of the trainer and training location shall be at the discretion of LEORON PDI. Every effort shall be made to maintain continuity, but, if necessary, LEORON PDI can change the trainer and training location any time prior to commencement of the course.

4. Intellectual PropertyThe copyright, intellectual property and design rights of the learning materials are property of LEORON PDI and its expert trainers. It cannot be copied, shared or reproduced without prior written consent of LEORON PDI.

5. Health and SafetyThe clients must conform to and comply with the Health and Safety Policy and Procedures as laid down by LEORON PDI or its partner organizations when the course is delivered in leased premises. Breaches of these policies and procedures may result with the client being suspended or excluded from the course and premises.

6. Complaints and Refunds Procedurea. LEORON PDI shall deem relevant the following types of complaints:

i. If the contents of a course or the training materials are incorrect or inappropriate.ii. If the duration of the course is significantly different to that invoiced.iii. If the conduct or actions by the LEORON PDI trainer are inappropriate or offensive.iv. If the training delivery is not on a satisfactory level

b. Enquiries and complaints shall be made in written form and have to contain sufficient detail to allow LEORON PDI to compile an official written response.

c. All official enquiries and complaints shall be submitted electronically to Val Jusufi, Managing Director of LEORON PDI, at val@leoron.com

d. LEORON PDI shall officially respond to the complaint no later than 7 days from the date of its reception.7. Force Majeure

LEORON PDI shall not be liable to the clients or be deemed to be in breach of any agreement it has concluded with them for any delay in performing or failure to perform any of the LEORON PDI’s obligations in respect of the services if the delay or failure was due to any cause such as war, warlike activities, fire, storm, explosion, national emergency, labor dispute, strike, lock-out, civil disturbance, actual or threatened violence by any terrorist group, newly enacted law or regulation or any other cause not within the control of LEORON PDI.

8. Governing LawThis contract shall be governed by and construed in accordance with the Laws and Regulations of the DMC-CA Authority in Dubai, UAE.

I have read and agreed to the following terms and conditions!

COURSE DETAILSCERTIFIED COMPLIANCE PROFESSIONAL

Date: July 22-26, 2018 Location: Dubai, UAE

Signature:

leoron.comREGISTRATION FORM

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4 EASY WAYS TO REGISTER

T: +971 4 447 5711

F: +971 4 447 5710

E: register@leoron.com

W: www.leoron.com

COURSE FEE: US$ 4390SAVINGS & DISCOUNTS

GET US$ 400 DISCOUNT if you register 2 months before the course

GET US$ 200 DISCOUNTif you register 1 months before the course

GROUP DISCOUNTS*

3-4 Delegates 20%

5 Delegates 25%

*please note that all group discounts are given on the original course fee** all prices are VAT-exclusive.

FINANCE (ACCOUNTS) PAYABLE DETAILS

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