Introduction

    The importance of training courses is not only limited to professional life, as most of us think but training courses aim to transfer knowledge and practical experiences that enrich the skills of individuals and enhance their self-confidence, which contributes to the preparation of cadres which in turn contributes to the development and progress of institutions. Therefore, Strategic Vision Training Center aims to enhance the skills and experiences of individuals through the strongest training programs to keep pace with every development in the labor market.

Who should attend?

• Compliance and compliance staff in banks, brokerage firms, investment firms, and financial firms.

• Administrators and accountants

• Analysts and Finance

• Students and graduates of faculties of commerce and finance.

Course content:

The first unit:

• Understanding the organizational environment:
• Objectives of regulating financial services.
• General information about the organization.
• Development of the regulation of financial services.
• Definition of capital markets.

Second unit:

• International Regulations and Saudi Arabia's Regulations and Regulations:
• The role and authorities of regulators.
• International regulatory models.
• An overview of current international legislation.
• International regulatory organizations and their influence.
• Regulatory institutions in the Kingdom of Saudi Arabia, laws and regulations.

Third unit:

• Understanding the risks and the role of the compliance function:
• The activities and responsibilities of the compliance function and the role and responsibility of the compliance officer.
• The different types of compliance officer's activities and how to prioritize them.
• Risk Management.
• Managing the main internal and external relationships.
• The role of the compliance officer.
• Drafting the job description/work contract for the compliance officer.

Fourth unit:

• How to Create an Effective Compliance Function:
• Factors that must be taken into consideration when designing a compliance system.
• Developing the internal compliance system.
• Assumed organizational goals.
• Defining the roles and responsibilities of key stakeholders.
• Designing an internal compliance system: the risk-based approach.
• Implement and communicate internal compliance arrangements.
• Policies and procedures.
• Preventing financial crimes.
• Market abuse.
• Anti-money laundering.
• Fraud and corruption.

Fifth unit:

• Corporate Governance and Compliance Environment:
• Corporate Governance.
• The relationship between compliance and corporate governance.
• Create an effective commitment environment. - Training.
• Ethics, integrity and culture.
• A culture of commitment - what is it? And why is it important?
• Changing perceptions:
• Commitment as a means of business empowerment.