Complete Corporate Compliance and Governance Bootcamp

Discover the foundations of corporate compliance, including defining compliance, making and knowing the rules, governance by the board of directors and CEO, and an Enron case study.

Define compliance and explain how organizations design policies, processes, and procedures to meet laws and standards. Learn how the board and management drive proactive compliance culture and manage market risk.

The board and management define and implement compliance rules and policies for employees. Regulators shape these rules; the compliance officer drives ethics, risk management, and transparent reporting.

Identify and comply with regulatory requirements issued by regulators, and as a continuous process, disseminate rules through board-led policies so all employees understand and apply them.

Analyze Enron's systemic compliance failures, from fraudulent accounting and complex derivatives to special purpose entities, bankruptcy, and the Sarbanes-Oxley Act.

Explore how the board and management design corporate compliance through policies, processes, and rules, with regulators guiding employees to know, apply, and make rules stick; Enron highlights failures.

Explore the importance of corporate compliance, regulatory obligations, and governance. Learn about settlement agreements, the board's fiduciary duty, reputational risk, and the positive value of principled performance.

Identify and manage numerous regulatory obligations across departments to prevent financial, operational, and reputational losses, applying processes for disseminating compliance requirements and governing risk, data security, and onboarding.

Learn to draft a legally binding settlement between employer and employee, including waivers, payment terms, confidentiality, references, and independent solicitor advice to meet statutory requirements.

Oversee all risks, establish a strong internal control environment and risk management framework, and uphold the board's fiduciary duty through CEO-led, proactive compliance oversight and reporting.

Learn how to prevent reputational harm through a systemic compliance program, crisis communication, and ethics governance; align CEO, CCO, and management to detect, disclose, and resolve non-compliance risks.

Discover the indispensable value of compliance, guiding principled performance through regulatory requirements, risk assessment, information systems, and prevention of fraud to protect counterparties and avoid penalties.

Understand how organizations identify and meet regulatory requirements, embed compliance across departments, and manage governance and risk to prevent financial, operational, and reputational losses.

Explore how regulatory compliance and risk management intersect, including risk analysis, risk tolerance, outsourcing, and risk transfer through insurance, under zero-tolerance governance.

Explore foundational compliance and risk management, including policy design, board supervision, regulatory obligations and code of conduct, internal controls, and risk assessment to prevent penalties and protect reputation.

Explore how risk analysis and enterprise risk management shape culture, governance, and decision making, enabling integrated risk practices aligned with risk appetite and strategy, and a portfolio view of risk.

Define risk tolerance as the acceptable variation in performance within the risk appetite, measure it against objectives, and guide management and board decisions on risk responses.

Learn how outsourcing risk and compliance are managed through due diligence, board governance, and regulatory requirements when engaging third-party outsourcing companies for data protection and know-your-customer.

Explore how insurance enables risk transfer in corporate governance, using risk assessment and internal controls to protect assets and curb financial impact.

Analyze compliance, risk management, risk analysis, and how risk tolerance, risk appetite, outsourcing, and the development of policies, processes, and procedures guide governance, controls, and insurance decisions.

Introduce governance structures and key compliance functions, including the board's tone at the top, board-level subcommittees, the MCC, and the three lines of defense in AML and CFT programs.

Board oversight sets the tone at the top, builds a strong compliance culture, forms subcommittees and a corporate compliance committee, and resources a competent CCO to meet regulatory requirements.

Explain how the board level subcommittee, the BCC, strengthens governance and compliance through tone at the top, three lines of defense oversight, and the C.c.c., MCC, and CCO roles.

Led by the CEO, the management level corporate compliance committee oversees the aml/cft program, reviews regulatory requirements, and strengthens governance and resources to foster a strong compliance culture.

Explain the three lines of defense in the Tlod model, showing the board’s stewardship and how each line establishes and assures internal controls and risk management.

Explore the evolution of corporate compliance functions and how compliance officers create policies, processes, and programs, monitor activities, and advise units to ensure regulatory adherence and ethical governance.

Define the role of the compliance officer, highlighting responsibilities in regulatory compliance, risk assessment, audits, disciplinary actions, crisis management, and implementing compliance controls.

Review board oversight, tone at the top, board subcommittees, and the MCC that drive a strong corporate compliance program, guided by the three lines of defense and AML/CFT governance.

Develop a holistic compliance management system by fostering a culture of ethics, implementing policies and programs, and coordinating with the board and CCO to monitor risks and compliance.

Culture of compliance begins with tone at the top from the board and management. This culture reflects shared attitudes, values, and practices guiding ethical behavior and regulatory adherence.

Identify and manage compliance risks by establishing a board-driven culture with policies and processes to ensure applicable laws and standards are met in spirit, with credit rating disclosures.

Identify and manage compliance risks by implementing a robust control system, due diligence, and AML monitoring to prevent regulatory penalties, financial losses, and reputational damage.

Lead a board-approved compliance program with the CCO, detailing the compliance policy, AML, KYC, data protection, procedures, risk assessment, and training to meet regulatory requirements.

Explore how a compliant organization aligns board oversight, risk appetite, and culture with a robust second line of defense that monitors first-line risk, policies, and regulatory compliance.

Learn how compliance communication shares regulatory requirements with stakeholders, disseminates policies, procedures, regulations, rules, and standards, and fosters a speak-up culture to prevent breaches and support the compliance program.

Discover how compliance monitoring and continuous improvement reinforce governance through board oversight, tone at the top, and the compliance committee, with AML/KYC risk controls.

Develop a compliance culture and governance program with board and management commitment, implementing policies such as AML and KYC, data protection, and robust monitoring and continuous improvement across the organization.

Acquire foundational knowledge of the key elements of the compliance management system, including code of conduct and reporting lines. Explore policies, standards, training, information flows, and monitoring for regulatory compliance.

Organizations define and document the code of conduct, outlining ethical principles and expected behaviors for employees and management, to protect investors, clients, and stakeholders and guide annual compliance.

Learn how reporting lines and an organogram define ownership and guide strategy. Compare centralized and decentralized models to understand their impact on compliance risk.

Explore how policies, procedures, and standards drive a risk based compliance culture, with board approvals, regulatory alignment, and essential controls like KYC, red flags, and confidentiality safeguards.

Develop and deliver need-based corporate compliance training programs, in-house or outsourced, to educate employees and stakeholders on regulations, risks, and the organization’s compliance approach.

Explore information flows within enterprise risk management, detailing top-down and bottom-up dissemination of regulatory updates, accountability for non-compliance, and cross-department collaboration to minimize regulatory and financial risks.

Explore how compliance activities protect brand image by aligning regulatory requirements with governance, while the independent compliance function guides policies and mitigates reputational risk.

Coordinate compliance by establishing clear written agreements with business partners and timely communications across stakeholders, aligning roles, risk management, and the organization's mission and values.

Discover how monitoring and screening within a KYC program identify high-risk customers, including PEPs and sanctioned individuals, using ongoing risk reviews and negative news to prevent onboarding and sanctions breaches.

Examine how a compliance management system, code of conduct, and organogram-guided reporting lines drive regulatory compliance, training, and customer screening in financial institutions.

Explore foundational concepts of non-compliance and regulatory non-compliance, and learn how to establish a senior response team, standardized reporting, and root-cause analysis to support corporate compliance.

Define non-compliance as failure or refusal to comply with legal and regulatory requirements. Identify and report non-compliance incidents to the appropriate committee, and apply AML/KYC controls to prevent penalties.

Identify and address non-compliance through robust corporate governance, internal policies and controls; advise the compliance officer, management, and the compliance committee, report breaches, and prepare for regulatory action.

The senior response team strengthens internal controls to manage compliance risks and breaches. It coordinates preventative and corrective actions, plans incident response, and communicates with regulatory authorities and customers.

Explore how the corporate compliance function standardizes reporting and communication to the management, board, and committees. Assess risks, breaches, and corrective actions through independent reviews and comprehensive compliance reporting.

Define discipline clearly, consult managers on past handling, and enforce strict compliance with laws, policies and standards to foster honesty, transparency, true and fair financial reporting, and strong internal controls.

Learn root cause analysis for regulatory breaches and identify causes such as lack of understanding, training gaps, or errors. Discover how the compliance team investigates, designs controls, and strengthens oversight.

Understand non-compliance and regulatory breaches and how board supervision, corporate governance, and internal policies prevent them. Learn about root cause analysis, independent monitoring, and reporting to management and the board.

Explore how governance and the board drive corporate compliance through policies, risk management, AML/KYC policy, training, and the compliance program and communication to meet regulatory requirements.