Risk and Compliance is a fundamental component of financial services. With a growing set of regulatory and operational compliance requirements, organisations are under increased pressure.
DurationRisk and Compliance is a fundamental component of financial services. With a growing set of regulatory and operational compliance requirements, organisations are under increased pressure.
Today compliance goes beyond regulation. Society demands rigorous standards of integrity in financial services and internal control. The compliance function is an integral part of the corporate governance structure, augmenting and strengthening other aspects of control and risk management.
Regulatory liabilities can be significant, so organisations look for ways to protect themselves as enforcement becomes more assertive.
Compliance is the provision of services that facilitate an organisation identifying and meeting its obligations whether they arise from laws, regulations, contract, industry standards, or internal policy.
Achieving effective and efficient compliance requires:
We have been delivering specialist technical training and licensing compliance solutions to financial workplaces for over two decades.
Our founders strived to improve the quality of financial services education in Australia – a legacy you can trust continues steadfastly to this very day.
Engaged in genuine partnerships with our clients, we actively listen, formulate ideas and develop solutions with you.
What differentiates us is that we seek to contextualise our learning; it is practice-based and focuses on how individual proficiency boosts organisational capability.
Our learning provides the financial services industry with professionals who embody the highest standards of technical proficiency, principled leadership and foresight to plan for change.
We are Registered Training Organisation (RTO Code 90725) and an ASIC authorised assessor. Our wealth of in-house educational expertise and extensive financial services practitioner network assures that your learning will comply with regulatory requirements.
This course discusses the role of the various regulators in Australian for not for profit and charitable organisations and looks at the responsibilities and obligations of these organisations in a regulatory context.
CCM is considered one of the most advanced, comprehensive certificates in the field of compliance and anti-money laundering.
This course reviews the legal and regulatory requirements placed on Boards of Directors in Australia. It is intended for board members who have recently joined a board or for potential directors of a board.
Kaplan Professional’s Compliance Training enables you to deliver compliance and soft skills training to your organisation in an interactive and engaging way.
This 2-day course will provide you with knowledge of the principles that underpin the success of any compliance management framework. We break down key concepts related to effective compliance management including compliance requirements and commitments.
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