CCA ™ Chartered Compliance Officer ™ - GAFM ®
Professional Certification Program
CCA ™ Chartered
Compliance Officer from GAFM ®
Certified Compliance Officer is a management program designed to teach a
practical understanding of regulatory compliance needs. The program covers eight major subject areas and
utilises a variety of training techniques. The key areas of the curriculum include understanding the regulatory
environment, who is responsible for compliance, the role of corporate governance and ethics in compliance
programs, and the implementation of compliance programs. The emphasis will be on practical and pragmatic
approaches, rather than theoretical.
Who should attend?
This highly practical course has been specifically designed for:
• Directors and Senior Managers
• Company Secretaries
• Compliance Professionals
• Risk Managers
• Legal Advisers and Lawyers
• In-House Corporate Counsel
• Auditors and Audit Managers
• Compliance Officers and Managers
Plus anyone who is responsible for compliance affairs or regulatory
By Attending This Five Module GAFM
® Executive Program, You Will
Be Able To:
• Define the meaning of compliance for your organization and be capable of
developing an organizational response to its demands
• Know what drives your compliance exposure both at home and abroad
• Understand the risk consequences of non-compliance
• Appreciate the relationship between corporate governance and compliance,
including the market expectation of that relationship
• Understand the implications of Sarbanes Oxley for corporate accountability
and ethical behavior
• Understand how to produce a corporate compliance program tailored to your
• Learn how to optimize organizational structure for compliance
Benefits of Successful Completion Of This Course and by Registration
with GAFM ® You Will:
• Earn the right to use the post-nominal designation CCA or CCO O™ on your
business card and resumé
• Receive a 2-year membership to the GAFM professional body
• Gain access to the GAFM risk management network and body of
• Share in the experience of a leading risk expert from the American Academy
Of Financial Management
• Enjoy preferred access to education centers in USA, Europe, Asia, Middle
East and Latin America
• Receive access to the GAFM international journal published
• Earn a gold embossed CCO™ Certification with your name and designation as
a MGAFM (Member of the Global Academy of Finance Management)
• Be able to show that you have completed graduate level financial and risk
management education and that you have substantial experience in risk assessment and management on a regional
and global level
The goal of this course is to provide Compliance Officers and Managers with
skills that can be immediately used upon return to the organization. You will learn to appreciate the extent to
which organizations and their public officers are exposed to the ever-increasing regulatory environment, how to
identify the compliance issues that have the most significance for you and how to introduce a compliance
management program within your organization.
Why This Particular Executive Program?
Creating a culture of compliance is an important risk management strategy.
Recent corporate collapses have heavily focused on the need for good corporate governance and an effective
compliance program is an integral part of this structure. In addition to this, on satisfactory completion of
the program you will receive certification from the internationally recognized financial association, the
American Academy of Financial Management. Founded in America, the GAFM has members now in over 150
countries and as such this course brings with it the experience of professionals in the US, EU, Australia and
other dynamic financial markets. This certification will entitle you to use the formal designation Certified
Compliance Officer (CCO) on your résumé and business cards.
This intensive program will provide a blueprint for compliance
professionals to follow to ensure that the risk profile of your organization is limited by a thorough
understanding of your regulatory environment.
Why Compliance Management?
In many financial markets, a formal compliance management system is not only
recommended, but required by the regulatory community and by good corporate governance principles. Since recent
news of financial misreporting by firm and institutions such as: Greece, Portugal, Spain, or like Enron,
Worldcom, etc, the pressure on corporations to more transparently manage their compliance exposures is
mounting. While some may observe that such regulatory requirements have not yet made their way to the
Middle-East, it is clear that Middle-East enterprises operating globally must adhere to such guidelines. This
program also represents an unrivalled opportunity for regional organizations to prepare themselves for the
arrival of more rigorous regulatory environments.
Introduction To Compliance
• What is corporate compliance?
• Who is responsible for managing it?
• What are the benefits of its introduction?
• Fostering a culture of accountability
The Regulatory Environment And The Role Of
• Regulatory drivers
• A variety of legal obligations and due diligence
The Regulatory Environment And The Role Of Regulators
• International responses to the problems of money laundering,
economic crime, cyber-sabotage and terrorism
• Non-compliance and its ramifications
Compliance And The Role Of Corporate Governance
• What is governance?
• The corporate constitution and governance structures
• Duties and responsibilities of directors
• Protection of stakeholder interests
Compliance And Business Ethics
• What is ethics?
• Ethics and corporate accountability: Sarbanes-Oxley
• Benefits of a commitment to sound business ethics
• Corporate ethics guidelines
Developing A Corporate Compliance Program
• Code of conduct
• Policies and procedures
Developing A Corporate Compliance Program Continued
• Best practice principles
• Monitoring and auditing
Implementation Of Corporate Compliance
• Implementation requirements
Case studies will be used to demonstrate how organizations have
implemented compliance programs.
The Corporate Compliance Function
• The location of the compliance function
• Integration or independence of the compliance function
• An optimal compliance architecture
• The Compliance Officer
Issues In Compliance
• The demand for Corporate Social Responsibility (CSR)
• Fraud and corruption control
• International money laundering
• Whistleblower programs and the law
Under an agreement with the Law School , graduates of qualified accredited
programs may apply directly for certification. See LLM Program http://llmprogram.tjsl.edu
Under an agreement with the Business School Accreditation Agency, graduates of
qualified accredited business degree courses, exams and programs may apply directly for certification
review. See ACBSP Press Release
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