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Certificate in Strategic Governance, Risk Management & Compliance

LEORON Professional Development Institute
Program overview
5 days
Full time
Diploma / certificate

Start dates
Abu Dhabi
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Dar es Salaam
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About this program

Certificate in Strategic Governance, Risk Management & Compliance

This five-day, advanced course will give participants a detailed overview of the strategic role and intersections of Governance, Risk & Compliance for organisations in today’s rapidly evolving business environment. The program will provide a detailed look and analysis of global changes to both prudential and conduct regulation and how you need to work to develop robust compliance practices and procedures within your organisation, looking at best practice to identify, analyse, and resolve current issues whilst building a dynamic future system.

The content is designed to provide a blueprint for senior compliance leaders and practitioners, who will already have a detailed understanding of core compliance principles and broader trends across regulatory areas. We will analyse and assess the benefits of using advanced technology in Governance, Risk & Compliance environments, and the essential human elements required for appropriate planning and execution.

Admission requirements

This training course has been designed for:
→ Chief Compliance Officers
→ Money Laundering Reporting Officers
→ Directors of Compliance
→ Global/Country Heads of Compliance/Risk
→ Compliance Managers and other senior
GRC staff
→ Financial Crime compliance staff
→ Legal Practitioners
→ Senior Regulatory Representatives
→ Company Directors/Board Members

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Program content

MODULE 1: Corporate Governance
→ What is Corporate Governance?
→ 10 principles of good governance
1. Leadership
2. Independence
3. Composition and diversity
4. Constructive challenge
5. Quality of decision making and
6. Checks and balances
7. Whistleblowing
8. Remuneration and reward
9. Evaluation, reporting and accountability
10. External engagement
→ Benefits of good governance
MODULE 2: Governance & Conduct
→ Core regulatory objectives aligned to
Corporate Governance regimes
→ Pillars of Corporate Governance
→ Global Corporate Governance guidelines;
→ UK Corporate Governance Code
→ Leadership
→ Effectiveness
→ Accountability
→ Remuneration
→ Relations with Shareholders
• King IV
• BIS (BCBS) Corporate Governance
• Wates Code for Private Companies
→ Why does Governance Matter?
→ Compliance Culture
→ Ethics in Business
• Banking & Finance Royal Commission
→ Compliance & Conduct
→ Conduct Risks & Conduct Costs (CCP)
→ Risk Culture
→ Behavioural science and the human
factor leading to ‘conduct’ regulation and
accountability regimes
→ Cultural indicators and the cognitive
challenge of dynamic risk taking
→ ‘Drivers’ of conduct risk
→ Existence of inherent regulatory problems

MODULE 3: Strategic Compliance
& Risk Management
→ Building ethical business practice and
ethical business regulation

The organisational approach to
• Leadership
• Values
• Ethical Practice Code
• Policies
• Procedures
→ Frameworks that support ethical business
• Context
• Localised Culture
• Sector
• Jurisdictional regulatory
• Political
• Economic & financial climate
• Institutional
• Situational context
• Understanding and use of advanced
technology solutions, including
Regulatory Technology (RegTech)

MODULE 4: Cultivating GRC
→ Characteristics of effective leaders
→ Building a strong GRC leadership function
for your firm
→ Leading change
→ Leading others
→ Use of available Standards (ISO19600
and ISO37001) for improved compliance
→ Engagement with other business units
→ Relations with external parties
→ Compliance best practice and provision of
→ Risk culture
→ Team management, deliverables, and
• 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
• Operational and strategic management

→ Five elements that develop maturity
1. Ethics
2. Culture
3. Good governance
4. Sustainable outcomes and community
5. Place, purpose, meaning

MODULE 5: Development of
Financial Crime Compliance
→ Understanding Financial Crime
• Money Laundering
→ Building an institutional KYC Framework
→ Enhanced Due Diligence
• Trade Based Money Laundering
• Terrorist Financing
• Targeted Financial Sanctions
• CyberCrime & CryptoLaundering
• New Technologies and New Payment
Methods (NPM’s)
• Beneficial ownership and shell
• Third Party Risk & Due Diligence
→ Designing an effective internal reporting
→ Reporting requirements and escalation
→ Development of Whistleblowing
→ Understanding Bribery & Corruption
→ Key Bribery provisions
• Active & Passive Bribery
• Pubic Officials
→ International Anti-Corruption Measures
• Foreign Corrupt Practices Act (US)
• UK Bribery Act
→ Department of Justice leniency program
→ Corruption Perceptions Index
→ Conflicts of Interest
• Understanding Bribery & Corruption
→ Practical terms to minimise Corruption Risk
• Relations with customers
• Gifts & Entertainment
• Facilitation Payments
• Cash Payments
• Nepotism
• Prevention, Detection, response
• Insider Trading
MODULE 6: Corporate Maturity
→ Changing and embedding culture
→ Dimensions of maturity
→ General Model of Corporate Maturity
• Minimum Standards
• Compliance culture
• Business improvement
• Values led
→ The maturity curve


Tuition fee: $3090


Key Takeaways

  1. Learn how to design, develop, and build a leading and effective governance, risk & compliance (GRC) framework, with appropriate policies, procedures, and resources in place
  2. Analyse core elements of a strategic risk management approach, as well as the
    various intersections between Governance, Risk, Compliance, and the Three
    Lines of Defence (3LOD)
  3. Assess global regional, andlocal trends across GRC, including drives towards Sustainability, development of RegTech, RiskTech and DataTech, and increased
    scrutiny of Audit practices
  4. Build skills to demonstrate core GRC leadership and enable business growth
  5. Implement effective, efficient and strategic GRC processes

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About this institute

LEORON Professional Development Institute

LEORON is the fastest growing global training institute in the World, having evolved over the past 11 years into a dominant training institute that offers a comprehensive set of training and development solutions to both individuals and businesses.  Our locations...

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Why study at LEORON Professional Development Institute

  • LEORON have worked with some of the largest companies in the World - but importantly we care about the individual. Through our Customer Happiness Team we ensure that everyone who attends a LEORON course has the support before, during and after to ensure their training needs are met.
  • We offer the highest level of training delivery, whether that be in our live-virtual training or in-classroom sessions, with our expert instructors guiding you through everything so that you’re left feeling assured and confident to utilise your new knowledge going forward.

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