Senior compliance officers challenged to have sufficient understanding of the markets, the products and the risks to offer a robust and reasoned challenge to the business. Furthermore, regulators have a significant interest in a financial firm's risk awareness and infrastructure. Compliance Officers should be conversant with the main principles of market, credit, liquidity and operational risk in order to partner effectively with their risk partners and to be able to perform the role of relationship manager with the regulators.  


This module is designed to provide an overview of key elements of risk and to demonstrate why they are important to a senior Compliance Officer.


Who Should Attends?

Compliance Managers and Senior Compliance Officers.

This programme is designed for Compliance Officers who have a minimum of 5 years experience in a Compliance Function. 




  • Why is Risk important for Compliance Officers?
    • The key elements of risk management
    • A holistic approach to risk management – does enterprise risk management make sense?
    • Regulatory Expectations regarding  risk management
    • The risk architecture – risk appetite, policies, procedures, reporting, registers, metrics and MI
    • Examine how financial metrics and statistics can illustrate the impact of Risk
    • Appreciate the impact of Basel II
    • Towards Basel III
  • Credit, Market and Liquidity Risk
    • Different types of credit risk
    • Why credit risk is important for both banks and investment firms
    • Regulatory expectations of credit risk management
    • Key principles of market risk
    • What is liquidity risk?
    • Why does it affect all types of firm?
    • How to understand where liquidity risk stresses can occur?
    • The importance of good liquidity risk management
  • Operational Risk
    • What is Operational Risk?
    • What types of Risk does Operational Risk cover
    • Measuring and modelling Operational Risk
  • Compliance Risk
    • What is Compliance Risk?
    • An example of an approach to identify and measure compliance risk
    • Defining Key Risk Indicators for the Compliance Function
    • Incorporating Compliance Risk metrics into the Operational Risk Framework
    • Creating a dashboard to summarise the state of compliance risk for senior management
  • Regulatory Capital
    • The link between regulatory capital and Risk
    • The different elements of regulatory capital
    • Use of risk and pricing models to reduce regulatory capital


Delivery Methods

Public Course

If you only have a few staff who require a particular training course then why not send them on one of our public courses. Our training centres in Beirut (Lebanon), Amman (Jordan), Kuwait (Kuwait), and Doha (Qatar) is the perfect locations. We limit the number of participants to 15 to ensure an interactive training environment. There’s always a chance to put your questions to a genuine expert, as well as to share experiences with other delegates.

Bring In-House

If you have a number of people who require training, you might find it more economical to have the training at your offices. Our trainers are armed with all the equipment and materials necessary. All you need to do is supply the room. In addition in-house courses can be tailored to meet the precise needs of your business. Tis could mean tailoring a course for a business unit; combining elements of different elements of different courses to match your exact specifications; or producing a course from scratch.


Please contact us at info@calert.org and we'll get in touch to discuss your requirements in detail.  

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