How to conduct a compliance risk assessment?

Geert Vermeulen

How to conduct a compliance risk assessment?

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Course Overview 

The compliance risk assessment is often the start of an effective ethics & compliance program. The outcome of the risk assessment is the input for the compliance action plan, so it usually determines what you will do in the next couple of months. Therefore, it is important to get it right.


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04 & 05 October, 2021

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8:00am-10:45am UK Time

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5 hours

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GBP 220 per user*

*Special prices apply for in-house training. Email for a quotation.

Training Objectives

During this training we will discuss:

  • Who should prepare the risk assessment? And who should participate?

  • Inventory of the risks / risk scenarios

  • Likelihood, impact, net and gross risk

  • Exercise: let’s put this in practice

  • Risk appetite

  • Common pitfalls

Programme Outline

  • Introduction / expectations

  • How to conduct a risk assessment

  • Case study

Training Style

The programme is designed to deliver knowledge and enhance participants’ skills. It will be an interactive session; the teacher will ask questions to the participants and you will have lots of possibilities to ask questions. We will apply what we have learned in case studies in break-out rooms.

CPD Recognition

This programme may be approved for up to 5 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies where you hold membership.

Who should attend

  • Ethics & Compliance Officers with a couple of years of experience

  • Ethics & Compliance Officers who are new to the role

  • In-house counsel with responsibility for compliance

  • Company secretaries

  • Internal Auditors who audit compliance programs

  • External Accountants who have to form an opinion on compliance risks and controls

Who is Geert Vermeulen?

The mission of Geert Vermeulen is to help organizations conduct business in an ethical and compliant way. Geert is specialized in establishing and improving ethics and compliance programs in general and anti-corruption programs in specific. In 2016 he founded ECMC: Ethics & Compliance Management & Consulting. ECMC provides compliance training, consulting services and interim ethics & compliance management. Geert also regularly speaks and writes on ethics and compliance.

Geert obtained most of his experience in-house as the Chief Compliance Officer of Aon EMEA and the Global Head of Compliance of Damco, the freight forwarding arm of Maersk. He served as one of the Directors of the Netherlands Compliance Institute and has been the President of the Dutch Compliance Officers Association, where he is still the founder/chair of the expert group on Financial Economic Crime and a member of the expert group on Culture and Behavior. He is also a member of the Professional Advisory Committee of the Law Compliance Minor at The Hague University and the Chairman of the co-decision counsel at the Erasmus Gymnasium, the school of his daughters. When he won the National Compliance Award in 2020, he was labelled as ‘the compliance guru’.

In 2020 Geert launched his new company called ‘The Integrity Coordinator’. This company is an independent, external coordinator of whistleblowing or speak up procedures.

Additional Details

Price - 220

Duration - 5


Date And Time

04-October-2021 - 08:00 to
05-October-2021 - 10:45




Live Online (Zoom)

Event Category


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