Program Directors
Jasmin Jabri
Compliance Executive
Joann Sochor
Compliance Executive
You need to be ready. Canadian financial institutions face a complex regulatory web as regulators (nationally and globally) are imposing greater pressures to assess, monitor and mitigate regulatory and operational risks.
In addition to staying compliant, today’s financial institutions need to keep up with new regulations, deal with new issues – including those created by remote work and emerging technologies – and manage the human resources and technological requirements to get the job done. The speed of change is rapid and the demands are increasing.
Designed by a select group of industry leaders, this unique one-day program, which also serves as Module One for The Osgoode Certificate in Regulatory Compliance and Legal Risk Management for Financial Institutions, will provide you with a practical understanding of the key compliance and risk management issues facing financial institutions in Canada as well as the essential components of a successful compliance program, how to categorize and control risk, and real-world best practices and strategies to help shield your organization from costly and damaging violations.
What You’ll Learn
What compliance is and why it is a priority among regulated industries
Essential components of a successful compliance program
Methods to categorize, mitigate and control risk
How major regulators and authorities regulate and supervise (objectives, powers and responsibilities), and tips for dealing with them effectively
Correlations between governance, risk management and compliance (GRC)
How to become an effective partner and energize your organization
Techniques to help shield your organization from costly and damaging violations
Overview of regulatory reviews, exams and complaints
This program is part of The Osgoode Certificate in Regulatory Compliance and Legal Risk Management for Financial Institutions (Module One), in this single-day module you will get the practical tools you need to identify, mitigate and control risks and build a good compliance program within a financial institution and other organizations, along with expert guidance on the core elements of compliance policies and procedures.
This program includes an option to upgrade to the full Certificate program in the Winter 2025 offering, until February 6, 2025, or in the next available Certificate program offering.
Who Should Attend
Compliance officers and compliance professionals at financial institutions
Privacy officers and professionals
Operations and risk professionals
In-house counsel at financial institutions
Compliance consultants
Portfolio and fund managers
Insurance professionals
Accountants
Internal auditors
Anyone aspiring towards a career in compliance or enterprise risk management
Faculty
Program Directors
Jasmin Jabri
Compliance Executive
Joann Sochor
Compliance Executive
Advisory Board
Paola Cifelli
Manager, Policy and Initiatives, Ontario Securities Commission (OSC)
Mary Joyce Empensando
Chief Compliance Officer, Questrade, Inc., Questrade Wealth Management Inc.
John Lewsen
Compliance, Risk and Governance Specialist, and former insurance Chief Compliance Officer
Katherine Macpherson
Founder, KM Risk Consulting
Ilona Niemi
Compliance Executive
Grant Spears
Assistant Vice President, Market Conduct, and Senior Business Compliance Officer, Distribution, Canada Life
Instructors
Agenda
Register
Recorded: Jan 25, 2024
$925 + TAX
Printable registration form
If a downloadable form is required, please contact osgoodepd@osgoode.yorku.ca.
CPD and Accreditation
OsgoodePD is an accredited provider with the LSO, the Law Society of BC and NY CLE Board. Select your location to view the eligible hours you may claim.
| Substantive (Program) | 4h15m |
|---|---|
| Professionalism (Program) | 1h 30m |
| Total (Program) | 5h 45m |
Are you reporting hours from a previous date?
View our CPD & Accreditation page to see previously calculated hours for this course.
“Is financial assistance or funding available?”
As law evolves, we know how important it is to stay up to date. We also understand the financial implications of continuously upgrading your professional skills and knowledge. For more information on available options, including Job Grants, OSAP, please visit:
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