Compliance in the banking industry (Online)

The purpose of the course is assist you in developing a basic understanding of compliance practices, the regulatory environment and the various regulations that govern the banking industry. 

---

OUTCOMES

On successful completion of this short course, you will able to: 

• Understand the concept of risk management.
• Outline different compliance techniques.
• Explain the main tasks performed by a compliance officer in the banking environment.
• describe the risks associated with non-compliance or non-activity
• explain the relationship between fiduciary responsibility and personal liability
• explain how liabilities could arise within the organisation
• investigate evidence of compliance or non-compliance in an organisation
• identify the policies and procedures related to a business process
• describe the legislation that impacts on the business within an industry
• analyse and quantify consequences of fiduciary risk in a specific situation
• propose a solution to manage fiduciary risk in a specific situation
• describe a specific sector in relation to provincial and national government with regard to the leader’s role
• analyse the legislative framework impacting on a specific sector
• apply creative problem-solving techniques to resolve sector policy issues
• differentiate between the roles of the leader and the official in policy development and implementation

ADMISSION REQUIREMENTS

• This course has no admission requirements.
• A good level of English reading and writing proficiency is required. 

---