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Compliance Risk Management


United States of America (USA)

20 - 22 Oct, 2014  3 days

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"The course touches on key topics in compliance and offers practical solutions and opportunities for discussion. The course instructor's style and teaching method are excellent, he has practical and wide ranging experience and ensures that all participants are involved"
Corporate Secretary and Legal Counsel, Brookfield International Bank Inc.

"I found the course very helpful from both a theoretical and practical point of view. The course instructor is extremely knowledgeable and competent, with a good delivery style - passionate and enthusiastic"
Vice President (Corporate Services) and Bank Secretary, Caribbean Development Bank

Attend this topical 3-day course and learn:

  • How to successfully structure and manage an effective compliance function 
  • The immediate impact of an ineffective compliance program
  • The comprehensive loss of revenue, trust, and reputation resulting from a weak compliance environment
  • How regulatory changes can quickly impact your organization and bottom line
  • How to prepare for intense regulatory scrutiny and examinations
  • From multiple case studies that globally illustrate cultures of compliance and strong compliance departments

The teaching methodology used on this course combines formal theoretical instruction with frequent use of exercises and case studies. These are based on real situations and are designed to help delegates implement new practices and to learn from empirical experience. Delegates are expected to have facility with the basic functions of a financial services firm as well as the control functions concerning corporate governance. The course is intended to be practical and interactive, with delegates encouraged to ask questions. The techniques taught to delegates are intended to be of immediate practical use in the workplace. The lecturer will be available throughout the duration of the course to offer additional help if required.

Who Should Attend?

  • New Compliance Officers
  • Risk Managers
  • Control Function Managers
  • Legal Department Managers
  • Management Consultants
  • Equities Sales and Trading
  • Desk Operations Managers
  • Fixed Income Sales and Trading Desk Operations
  • Managers
  • Investment Banking
  • Administrative Officers
  • Treasurers
  • Financial decision makers in corporations
  • Strategists


Miami Hotel, Miami, United States Oct 20 - 22 Oct, 2014

+1 212-361-3299

The course director is Assistant Dean, Senior Advisor and Adjunct Professor at Gabelli School of Business, Fordham University. He is former Director and Co-Global Head, Deutsche Bank AG Compliance Training, with over 25 years’ experience on Wall Street and the Federal Reserve Bank of New York.