Certified Compliance Analyst (CCA) Course
Corporate Finance, Banking and Auditing

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Certified Compliance Analyst (CCA) Course
Course Overview:
The CCA experts have developed the necessary knowledge and skills necessary to implement compliance frameworks effectively and manage them within an organization.
In this area, topics such as legal terrain, corporate governance, job description of the compliance officer as a risk mitigator for fraud, MML, cyber terrorism are discussed.
The topics include enhancing compliance mindset, compliance program implementation, and the need for reporting and monitoring on a regular manner.
The focus of the course will also include new emerging compliance challenges, including social media compliance, changes in the law regulatory framework, and the need for whistleblowing compliance programs.
The audience of compliance officers, senior managers and practitioners of corporate governance will benefit from the course by being able to fx both current and envisaged compliance issues.
Course Objectives:
At the end of this Certified Compliance Analyst (CCA) Course, learners will be able to do:
- Learn essential compliance concepts and frameworks
- Understand the importance of compliance culture and implementation of compliance policies
- Acquire key concepts in order to mitigate fraud and other compliance risks
- Define the role of key players and corporate governance in implementing compliance frameworks
- Identify and discuss emerging compliance issues and trends
Who Should Attend?
This training course is suitable for a wide range of professionals but will greatly benefit:
- Compliance Managers and Compliance Officers
- Anti-Money Laundering Officers and the Deputies
- Senior Management
- Directors
- Company Secretaries and Corporate Governance Officers
Course Outlines:
The Compliance Function
- What is Compliance?
- Compliance benefits
- The business case for Compliance programs
- Whose responsibility, is it?
Compliance Regulatory Frameworks
- Role of regulators (Authorize Set standards Supervision – Enforcement)
- Interaction with National Frameworks
- Main regulatory requirements
- International and GCC regulators
- International and GCC Standard-Setting Bodies
- Harmonization or application of international rules (UN Sanctions)
- The international reach of country laws (UK Bribery Act, US FCPA, US FATCA)
- Emerging topics in regulation, e.g., tax avoidance, whistleblowing rewards
- New developments, e.g., EU Financial Services action plan
Corporate Compliance Frameworks
- Corporate structures and organizational arrangements
- The relationship between the board of directors, regulatory supervisors, and internal and external auditors
- Role of the Board and Board Committees
- The role and responsibilities of the Chief Compliance Officer or Compliance Officer (CO)
- Management’s philosophy and operating style
- Risk culture (appetite and tolerance)
- Elements of an effective compliance program
Compliance Functions
- Role of a Compliance Officer
- Skills required by an effective Compliance Officer
- Duties of a Compliance Officer
- Compliance Officer’s job description
Compliance Culture
- Setting a positive Compliance culture
- Responsibility
- Sponsorship
- Compliance Officer – Internal relationships
- Compliance Officer – External relationships
- Compliance risk management
- Policies and procedures
- Common presentation and contents
- Responsibility
- Approval and amendment
Compliance Programs
- Compliance monitoring program
- Components of a Compliance program
- Periodic and Annual Compliance report to the Board
- Compliance audit
- Compliance monitoring and review
- Resourcing and outsourcing
Current Corporate Compliance Themes and Issues
- Financial crime risk
- Money laundering and terrorist financing
- Money laundering offences
- Example offences
- Money launderers’ objectives
- Interaction with National Frameworks
- Main regulatory requirements
- Terrorist financing
- Sanctions and bans
Current Corporate Compliance Themes and Issues (contd.)
- Fraud
- Internal fraud
- Environmental characteristics that might facilitate internal fraud
- Indicators of staff fraud
- Common warning signs of fraud
- Mitigation of staff fraud
- Market misconduct, insider dealing and market abuse
- Market manipulation
- Insider trading
- Systems and controls
- Compliance function’s role
- Cybercrime and electronic banking fraud
- E-crime
- E-crime tools and techniques
- Online banking fraud
- Identity theft
- Phishing attacks
- Cybercrime
- Credit card fraud
- Data security controls
- Bribery and corruption
- Bribery and corruption laws
- Sanctions and bans
- Corporate liability
- Corporate protection and defenses
- Whistleblowing program
- Standard and guidelines
- Common practices
- Treatment of whistle-blowers
- Current issues Moral hazards
The link between Compliance and Corporate Governance
- Corporate Governance outline
Emerging Compliance Issues
- Social media
- Regulatory creep
- Training and development of new Compliance teams
- Overlaps with other control functions