مسؤول الامتثال المعتمد (Certified Compliance Officer – CCO)
الحصول على الكتيب
للحصول على كتيب بكامل محتويات الدورة برجاء ملء النموذج التالي ببياناتك الصحيحة
Program Professional Framework
مسؤول الامتثال المعتمد (Certified Compliance Officer – CCO)
Program Overview
The compliance officer is the person regulators expect to answer for how an institution meets its obligations, especially on financial crime. This course focuses on the officer's day-to-day responsibilities: interpreting regulatory requirements, running an anti-money laundering and counter-terrorist financing programme aligned with FATF Recommendations, applying customer due diligence and sanctions screening, filing suspicious transaction reports, overseeing data protection duties under laws such as the Saudi and UAE personal data protection laws, and reporting to the board. Cases reflect supervisory practice in GCC banking, insurance, exchange houses and capital markets.
Learning Outcomes
- ✓Define the mandate, independence and reporting lines of the compliance officer role.
- ✓Perform an enterprise-wide money laundering and terrorist financing risk assessment.
- ✓Apply customer due diligence, enhanced due diligence and sanctions screening to case files.
- ✓Evaluate unusual activity alerts and draft a suspicious transaction report with supporting rationale.
- ✓Prepare for a regulatory inspection and coordinate responses to supervisory findings.
- ✓Present a compliance officer report to the board covering risk, breaches and remediation.
Target Audience
- Compliance officers and deputy compliance officers
- MLROs and AML analysts
- Regulatory reporting and conduct risk staff
- Legal and internal audit staff moving into compliance roles
Detailed Program Modules
01The Compliance Officer Role
- Mandate, independence and accountability
- Relationship with the board, management and regulators
- Compliance charter and resources
02Regulatory Landscape
- GCC regulatory bodies and supervisory expectations
- FATF Recommendations and mutual evaluations
- Regulatory change monitoring
03AML and CFT Programme
- Enterprise-wide risk assessment
- Customer due diligence and beneficial ownership
- Transaction monitoring and suspicious transaction reporting
04Sanctions, Bribery and Conduct Risk
- Sanctions screening and escalation
- Anti-bribery and conflicts of interest
- Conduct risk and fair treatment of customers
05Data Protection and Confidentiality
- Personal data protection laws in Saudi Arabia and the UAE
- Data processing records and breach notification
- Confidentiality and information barriers
06Monitoring, Inspections and Reporting
- Compliance monitoring and testing plans
- Managing regulatory inspections
- Board reporting and remediation tracking
Training Methodology
Applied Project & Assessment
Applied Project
Participants prepare a compliance officer pack for a case financial institution: an AML/CFT risk assessment summary, two reviewed customer files with due diligence decisions, a draft suspicious transaction report and a quarterly board compliance report.
Assessment
Short diagnostic at the start, practical tasks linked to each learning outcome, and evaluation of the applied project against published criteria.