Mastery of Ethics and Compliance
الحصول على الكتيب
للحصول على كتيب بكامل محتويات الدورة برجاء ملء النموذج التالي ببياناتك الصحيحة
Program Professional Framework
Mastery of Ethics and Compliance
Program Overview
Regulators across the Gulf are strengthening enforcement on anti-money laundering, sanctions, anti-bribery and data protection, and boards expect compliance functions to demonstrate effectiveness rather than activity. This advanced programme covers the design, operation and assurance of an ethics and compliance programme: governance and the compliance function, compliance risk assessment, codes and policies, anti-bribery, AML and sanctions controls, third-party due diligence, speak-up and investigations, monitoring and testing, and ethical culture. It draws on ISO 37301, ISO 37001, ISO 37002 and FATF recommendations, and closes with an applied programme effectiveness review.
Learning Outcomes
- ✓Design a compliance management system aligned with ISO 37301, including governance, roles and reporting lines.
- ✓Conduct an enterprise compliance risk assessment and prioritise obligations by inherent and residual risk.
- ✓Develop anti-bribery, conflict-of-interest and gifts and hospitality controls aligned with ISO 37001.
- ✓Evaluate AML, counter-terrorist financing and sanctions controls against FATF recommendations and local regulatory expectations.
- ✓Design a speak-up and investigation process consistent with ISO 37002 whistleblowing guidance.
- ✓Assess the effectiveness of a compliance programme through monitoring, testing and culture indicators.
Target Audience
- Chief compliance officers and compliance managers
- Ethics, integrity and anti-fraud officers
- MLROs and financial crime specialists in banks and financial institutions
- Legal counsel, risk managers and internal auditors
Detailed Program Modules
01The Strategic Role of Ethics and Compliance
- Ethics, compliance and integrity defined
- Regulatory expectations and enforcement trends
- The compliance function's mandate and independence
02Compliance Management Systems
- ISO 37301 structure and requirements
- Compliance obligations registers
- Board and senior management oversight
03Compliance Risk Assessment
- Identifying and rating compliance risks
- Control mapping and residual risk
- Risk-based compliance planning
04Codes, Policies and Training
- Designing a code of conduct
- Policy frameworks and policy management
- Targeted training and awareness
05Anti-Bribery and Corruption
- ISO 37001 anti-bribery management systems
- Gifts, hospitality, donations and sponsorships
- Conflicts of interest and public officials
06Financial Crime and Sanctions
- FATF recommendations and the risk-based approach
- Customer due diligence and suspicious activity reporting
- Sanctions screening and export controls
07Third-Party and Data Compliance
- Third-party due diligence and monitoring
- Personal data protection obligations in the Gulf
- Contractual compliance clauses
08Speak-Up and Investigations
- ISO 37002 whistleblowing management
- Conducting internal investigations
- Protection against retaliation and remediation
09Monitoring, Testing and Reporting
- Compliance monitoring and testing plans
- Compliance KPIs and board reporting
- Working with internal audit and regulators
10Ethical Culture and Programme Effectiveness
- Measuring ethical culture and tone at the top
- Programme effectiveness reviews and maturity models
- Applied research on compliance improvement
Training Methodology
Applied Project & Assessment
Applied Project
Participants carry out an ethics and compliance programme effectiveness review for their organisation or a case institution, including compliance risk assessment, gap analysis against ISO 37301 and ISO 37001, culture indicators and a prioritised improvement roadmap.
Assessment
Short diagnostic at the start, practical tasks linked to each learning outcome, and evaluation of the applied project against published criteria.