Regulatory Compliance And Legal Risk Management For Financial Institutions

You need to be ready. Canadian financial institutions face an increasingly complex regulatory web as regulators in Canada and globally are imposing greater pressures to assess, monitor and mitigate regulatory and operational risks.

In addition to staying compliant, today’s financial institutions need to keep up with new regulations, deal with new issues – including those created by remote work and emerging technologies – and manage the human resources and technological requirements to get the job done. The speed of change is rapid and the demands are increasing.

Designed by a select group of industry leaders, this unique and intensive Osgoode certificate will provide you with a comprehensive understanding of crucial regulatory compliance requirements, the intersection of compliance and enterprise risk management in financial services and the practical strategies you need to meet them.

Over five modules, you will learn from industry experts and major regulators and get the practical knowledge and skills you need to effectively assess, monitor and mitigate regulatory and operational risks. 

With a focus on real-world examples, you will take your learning to the next level and emerge equipped with the most up-to-date knowledge, tools and tactics you need to develop, implement or re-energize a state-of-the-art compliance program, along with insights into rapidly evolving compliance issues and trends.

What You’ll Learn:

• Fundamentals of regulatory compliance for financial institutions
• How to effectively identify, mitigate and control risks
• Essential components of an effective compliance program
• How major regulators and authorities regulate and supervise (objectives, powers and responsibilities), and tips for dealing with them effectively
• Correlations between governance, risk management and compliance (GRC)
• How to become an effective partner and energize your organization
• Strategies for implementing a code of business conduct and ethics
• Techniques for managing a regulatory examination, investigation and incident
• Best practices for crisis management and response
• Strategies for managing high risk issues
• How to manage industry disruptors like data analytics, bitcoin, blockchain and fintech and other unregulated financial services players
• What you need to do to prepare for emerging challenges impacting compliance professionals
• Impact of international standard setting organizations

Who Should Attend:

• Compliance officers and professionals at financial institutions
• Privacy professionals
• Risk professionals
• Operations and risk managers
• In-house counsel at financial institutions
• Internal auditors
• Business or corporate affairs professionals
• Lawyers in private practice who advise financial institutions
• Portfolio managers, fund managers and securities dealers
• Compliance consultants
• Accountants
• Anyone interested in a career or a role in compliance