Master the Evolving Landscape of Compliance and Risk Management
Financial institutions – and their legal advisors – need to keep up with new regulations, deal with ongoing issues, emerging trends and technologies and manage the human and technological resources required to get the job done. The speed of change is rapid, and the demands are increasing.
The Osgoode Certificate in Regulatory Compliance and Legal Risk Management for Financial Institutions 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.
Practical, relevant and engaging.
Join the ranks of 600+ legal and financial services professionals who completed this 5-day intensive Osgoode certificate to gain the latest knowledge, tools and techniques you need to develop, implement or re-energize a state-of-the-art compliance program and to provide results-oriented guidance on compliance and risk management strategies, policies and procedures. With a focus on real-world examples, you will learn from legal and industry experts and major regulators and get the practical knowledge and skills you need to effectively assess, monitor and mitigate regulatory and operational risks and best practices for “future-proofing” the compliance function as a strategic business asset and partner. See “Certificate Preview” below.
Not ready to complete the full Certificate?
You can choose to register for one‑day – the Fundamentals of Regulatory Compliance and Legal Risk Management for Financial Institutions, which also serves as Module One for the Certificate. In a day, you will gain valuable knowledge and insights for navigating the complex regulatory landscape, how to categorize and control risk, the nuts and bolts of a successful compliance program and insights on how to prepare for a regulatory incident, exam or investigation. You will also have the option to register for the full Certificate by February 9, 2023.
Note: Live attendance is not required for this program. Registration includes 120-day unlimited, online access to the recorded program.
Certificate Preview
Module One – The Fundamentals of Compliance. You will build a foundation of core compliance, regulatory and operational risk concepts and issues and delve into practical details for navigating more complex issues. You’ll also get practical guidance on how to identify challenges and generate solutions when developing or refreshing a compliance program, as well as an overview for managing regulatory reviews, exams and complaints.
Module Two – Building Blocks of an Effective Compliance Program. You will develop a foundation in core privacy, outsourcing/3rd party and AML concepts and explore how to more effectively manage regulatory and operational risk by fine-tuning these building blocks in your organization’s compliance program. You’ll also learn about board reporting and how to deal with complex issues involving varied compliance mandates.
Module Three – Managing Regulatory Reviews, Exams and Complaints. You will focus on managing regulatory reviews, exams, complaints and conflicts and get expert guidance and best practices for identifying challenges and solutions. You’ll also learn about behavioural ethics and compliance and gain tips for applying key learnings to advance a culture of compliance and ethical conduct across the organization.
Module Four – Meet Your Regulators. Do not miss this unique opportunity to engage with major financial services regulators, industry associations and thought leaders who will impart the latest essential information, key insights and best practices involving new and emerging mandates, approaches to monitoring business, and sightlines into where things are heading, including tips on how to prepare your organization for the future.
Module Five – Technology, Emerging Risks and the Future. You will “hit-the-ground-running” on this final intensive day, focusing on how to navigate and prioritize competing risks and opportunities involving technology, industry disruptors and emerging issues and trends. You’ll gain practical insights and strategies to “future-proof” compliance as a career and as a strategic business asset, and to adapt to global regulatory and supervisory change within the context of your organization’s compliance efforts.
Don’t take our word for it, here’s what past participants have shared:
Certificate
“This course is worth it, and highly recommended. Each section was well‑designed and thought out. All were strong.”
Afamefuna Okeke, Regulatory and Privacy Compliance, ATB Financial
“Online experience was great. Excellent agenda and well put together. Great presenters, very knowledgeable and easy to understand [and] great discussions amongst the panels. A great deal of tips and information [to] use when setting up a program.”
Cindy Bauder, Manager, Market Conduct Compliance, Manulife
“The online platform, the quality of the live stream and the availability of materials were stellar. The quality of the presentations, the materials and the valuable experience shared by the presenters/panelists was nothing short of top‑tier. I can genuinely incorporate the presentations and PDF materials (a treasure trove of substantive materials) into my daily practice immediately, thus making me a more effective in‑house legal professional.”
Luca Cerasuolo, Legal Counsel, TD Insurance, TD Bank Group
”Excellent. The program is well organized, covered a wide range of topics, and I was really impressed with the scope and depth of content. The virtual networking was fun. I am sure I will benefit from this program for years to come.”
Sean Zou, Representative and Head of Legal and Compliance Designate, Bank of Communications Co., Ltd. (Toronto Representative Office)
Fundamentals of Compliance
“Very good – the sessions were relevant and useful. I was very impressed with the webinar interface [and] I did not feel disadvantaged not being present in the room.”
Janelle Anderson, VP Governance, Corporate Secretary, Wyth Financial
“Excellent. As a new member of the compliance world, this module provided me with valuable and helpful information to assist in better understanding compliance which I will take with me to further my career.”
Paolina Corsaro, Paolina Corsaro, Compliance Coordinator, Amex Bank of Canada
Questions about the Certificate program?
Connect with us and have your questions answered at the upcoming information session:
November 9, 2022
12:00 p.m. – 1:00 p.m. ET – Online (Live)
Info sessions are complimentary, 60-minutes and delivered live, online. These are not recorded.
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