Certified Compliance Professional LVT

35 Nasba
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Course Overview

The 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.

Key Takeaways

Taking GRC to the next level; understanding governance, ethics, risk and compliance.
Understanding the complete regulatory environment.
Managing 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).
Protecting your firm from the risk of money laundering, financial crime, and terrorist financing.

International Academy of Business and Financial Management
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The International Academy of Business and Financial Management™ is one of the world’s fastest growing professional association with more than 200,000 members, associates and affiliates in 145 countries. IABFM™ hosts and organizes certification training worldwide and offers exclusive board designations to candidates who meet the highest professional standards and assessment criteria. The IABFM is credited by the American National Standards Institute (ANSI) the International Standards setting authority.

Course Outline

Day 1
Global 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 Common Reporting Standards
Day 2
The 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 procedures 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 Monitoring Testing Raising compliance issues arising from Compliance Monitoring Testing
Day 3
Compliance 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
Day 4
Financial 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, Detection 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
Ethics, Governance, and Culture
What is Compliance Culture? The Values Led Mindset Changing and embedding culture Why does Governance matter? Key Corporate Governance Principles 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 Maturity framework and pathways
Day 5
Compliance 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

Who Should Attend?

This highly practical and interactive course has been specifically designed for
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
Company Secretaries


What language will the course be taught in and what level of English do I need to take part in an LEORON training program?
Most of our public courses are delivered in English language. You need to be proficient in English to be able to fully participate in the workshop and network with other delegates. For in-house courses we have the capability to train in Arabic, Dutch, German and Portuguese.
Are LEORON Public courses certified by an official body/organization?
LEORON Institute partners with 20+ international bodies and associations.We also award continuing professional development credits (CPE/PDUs) for:1. NASBA (National Association of State Boards of Accountancy) 2. Project Management Institute PDUs 3. CISI credits 4. GARP credits 5. HRCI recertification credits 6. SHRM recertification credits
What is the deadline for registering to a public course?
The deadline to register for a public course is 14 days before the course starts. Kindly note that occasionally we do accept late registrations as well, but this needs to be confirmed with the project manager of the training program or with our registration desk that can be reached at +91 4 95 5711 or [email protected]
What does the course fee cover?
The course fee covers a premium training experience in a 5-star hotel, learning materials, lunches & refreshments, and for some courses, the certification fee and membership with the accrediting bodies.
Does LEORON give discounts?
Yes, we can provide discounts for group bookings. If you would like to discuss a discount on a corporate level, we will be happy to talk to you.


  • Review:
    IAMM Internal Audit Maturity Model
    In recognition of their dedication and contribution supporting IKEA Saudi Arabia in arranging training programs during 2017 & 2018, looking forward for more development and exciting effort this year. On behalf of IKEA Saudi Arabia, THANK YOU!
    Dalal Kutbi
  • Review:
    Certified Professional in Quality and Patient Safety
    Dating back to 2014, Mobily’s “LEORON” experience has grown from a single collaboration to a long-term partnership. We consider “LEORON” Institute as a strategic partner, whose contribution has been nothing but premium in equipping our staff with field-based knowledge and information. Past three years have resulted with an expanded collaboration with superior customer service and support. Best Regards,
    Turki S. Alsahaan
  • Review:
    Certified Professional in Quality and Patient Safety
    Since the partnership was signed between BAE Systems Saudi Development & Training and LEORON in 2017, we have been working together to offer the Saudi market a complete portfolio of training solutions benefiting from the wide and extensive experience of both parties. Recognizing the great success of this partnership, we are looking for further collaborations in the future that will position both companies as one of the leading training providers in Saudi Arabia. We thank the LEORON team for their full cooperation and continuing support, and look forward to further success together in the years to come.
    Emad Alrajih
  • Review:
    Certified Professional in Quality and Patient Safety
    We have been working with LEORON for the past two years and will be working with them again this upcoming year. The programs they delivered were fruitful and exciting and our organization has received positive feedback from the participants. What our organization aims to do is to provide at no cost training for all the private sector employees so that they may benefit from our offered programs in Innovation and Professional development. Leoron has helped us achieve this goal. We look forward to continuing this service and wish them the best of luck. Regards,
    Nasser M. Al-Subaie