How to conduct a compliance risk assessment?
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.
04 & 05 October, 2021
8:00am-10:45am UK Time
GBP 220 per user*
*Special prices apply for in-house training. Email firstname.lastname@example.org for a quotation.
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
Introduction / expectations
How to conduct a risk assessment
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.
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
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.
Price - 220
Duration - 5