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Compliance Risk Management

Euromoney Learning Solutions
Training overview
Length: 3 days
Price: 4,200 USD
Next start date: Contact for info - Miami

Course description

Compliance Risk Management: A three-day program in MiamiCompliance Risk Management 3-day Course

This exciting three-day course in Miami is designed to offer compliance personnel and management key insights into current best practice and processes in compliance risk management. Course material covers compliance roles, such as risk mitigator, and a number of different approaches to regulatory requirements. Participants will also discuss the necessary ingredients for an effective compliance department and outline the defining skills of a successful compliance officer. Delegates are also given the opportunity to benefit from shared experiences regarding compliance issues and attempts at fostering a culture of compliance within their own firms.

A blended learning program

An interactive an engaging program, course learning takes place through a combination of different instruction approaches. Formal theoretical instruction, exercises, simulation and group discussion all make up the program approach. Additionally, in-depth analysis of case studies makes up much of the instruction regarding insider trading, compliance and ethical transgressions, rules violations and money laundering

Upon completion of this course delegates will be prepared to:

  • Successfully structure and manage an effective compliance function 
  • Recognize the immediate impact of an ineffective compliance program
  • Describe comprehensive loss of revenue, trust, and reputation resulting from a weak compliance environment
  • Recognize regulatory changes can quickly impact your organization and bottom line
  • Prepare for intense regulatory scrutiny and examinations
  • Implement lessons learned from multiple case studies that globally illustrate cultures of compliance and strong compliance departments

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Who should attend?

This 3-day Compliance Risk Management course in Miami is designed for anyone working in compliance management or supporting roles requiring a clear understanding of the structures related to effective compliance.

Those best suited for this course will likely work as:

  • 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

For more information on course suitability, please send an enquiry

Training Content

Training topics for this 3-day Compliance Risk Management course include:

Day 1:

  • Setting the Stage: The Need for Compliance
  • News Reviews: Compliance and Regulatory Cases
  • Market and Business
  • Approaches to Financial Services Regulation
  • Case Study: Tear Down and Build up Exercise
  • Creating the Rubric: Structure and Functions of an Effective Compliance Department
  • Introduction to the Rubric: Structure and Functions of an Effective Compliance Department

Day 2:

  • Continuation of the Rubric: Structure and Functions of an Effective Compliance Department
  • Matching the Rubric to Firm Culture
  • The Makings of an Effective Compliance Department
  • Understanding the Business to Understand How to Comply
  • Risk Management and Compliance: a Partnership throughout the Firm
  • Sample Risks Faced by Financial Services Firms: Business, environmental, compliance, regulatory, reputational, credit, market, investment, interest rate, maturity, counterparty, denominational, political, economic, social and financial risk
  • Addressing Risk through Compliance Management
  • Case Studies: Sample Cases of Insider Trading – Galleon Group

Day 3:

  • Regulatory Framework - US and UK Financial Regulatory Regimes as Examples
  • Capital Adequacy and Risk Limits
  • Current Events/is it Working?
  • Course summary and close


The cost of this 4-day Compliance Risk Management course in Miami is $4,200 USD.

On-site Training

All Euromoney Financial Training solutions are available as on-site or company-specific training. Euromoney works with clients to provide a customized training solution that meets their specific learning needs. Consider bringing this program to your workplace and gain the flexibility to decide the course focus, location and schedule.

About supplier

Euromoney Learning Solutions – Delivering training that is Tailored, Public, and Online

With over 30 years of experience as one of the world’s leading training provider, Euromoney Learning Solutions draws on its unique heritage and 150 strong team of expert trainers to redefine learning.  Specialising in designing innovative solutions to accelerate individual,...

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