Program Directors
Jasmin Jabri
Compliance Executive
Jacqueline Shinfield
Partner, Blake, Cassels & Graydon LLP
Joann Sochor
AVP, Corporate Compliance, Sun Life
You need to be ready. Canadian financial institutions face an increasingly complex regulatory web as regulators in Canada 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 OsgoodePD program, which also serves as Module 1 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
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
Jacqueline Shinfield
Partner, Blake, Cassels & Graydon LLP
Joann Sochor
AVP, Corporate Compliance, Sun Life
Advisory Board
Instructors
Online Primers
These primers focus on core concepts for those who may be newer to compliance or those seeking a succinct refresher. View online anytime.
Agenda
Building on core concepts in Introduction to Compliance Primer and Regulatory Landscape Primer, you will get practical guidance on how to identify challenges and generate solutions when developing or refreshing a compliance program.
Agenda
View the 2021 program brochure and agenda to see what you’ll learn from leading experts.
Register
Recorded: Jan 27, 2022
$895 + TAX
Printable registration form
If a downloadable form is required, please contact osgoodepd@osgoode.yorku.ca.
“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:
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 | 4h 45m |
|---|---|
| Professionalism | 1h 30m |
Are you reporting hours from a previous date?
View our CPD & Accreditation page to see previously calculated hours for this course.
Deeper Learning Opportunities
LLMs
Are you a law graduate or an executive/senior professional with at least 5 years of specialized experience? Consider a full-time or part-time LLM degree.
Part-time LLMs Full-time LLMsThe Osgoode Certificate
Stay competitive with deep dives into the most critical issues in law. Taught by leading experts and designed for flexible learning, choose from multi-day programs or take courses at your own pace to build towards a certificate.
Explore certificatesFrequently Asked Questions
Client and Technical Support
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Registration questions
Technical support
Online Technical Requirements
To ensure you do not encounter any issues that will impact or limit your learning experience, please review the following information.