This course gives you a broad understanding of the regulatory environment as well as the specialist skills and knowledge to be able to identify and manage key regulatory risks today and in the future.
New technologies are changing many aspects of the role of the compliance professional. Fintech and Regtech are now embedded in compliance lexicon, but what do the terms actually mean, and what are the practical impacts, both positive and negative, that we need to understand and manage? The ICA International Diploma in Governance, Risk and Compliance helps you to answer these questions and apply the answers directly within your organisation.
Topics to be covered include:
Understanding governance, risk and regulatory compliance
- Why we need to understand the regulated environment
- Why are governance and culture essential for effective regulatory compliance risk management?
- The role of the compliance department and the compliance professional
- Risk management as the key to effective compliance
- Case Studies
The conduct of firms and the behaviour of senior management is a key topic in this course and is interwoven throughout the course units. The conduct agenda forms a key part of the workshop exercises in the UK.
This course is offered by International Compliance Association Commercial Services (ICA’s approved training provider). During the restrictions imposed by the Covid19 pandemic the ICA have made significant investments in technology and resources to create a new student experience – a blend of self-study, instructor-led virtual classrooms, dynamic discussions around live scenarios, topical reviews of industry events and bite-size videos. All designed to help you get the most out of the course, increase your chances of success and take away the practical knowledge you need to think differently and perform better in your role.
- 9 month course assessed by 3 written assignments (3,000 to 3,500 words)
- A mixture of guided online study and participation in live sessions:
- 2 x virtual classrooms – groups are limited to 36 students to maximise the study experience
- 1 x live, immersive learning scenario – a powerful experience putting you at the centre of a story, helping you bridge the gap between what you know and how you can apply that knowledge in your role
- 9 x monthly “in the spotlight” videos covering the latest industry developments
- Proactive support throughout the course to help you stay on track.
It is recommended that you study 2-4 hours per week over the nine month period.
You can request a copy of the full syllabus here.
The next course dates are as follows:
Online course content can be accessed from 20 September 2021
Module 1 (Group 1)
- Virtual Classroom 1 - 6 October 2021 (09:30-12:30)
- Group Tutorial 1 – 8 October 2021 (09:30-11:00)
- Assessment Preparation Session – 8 November 2021 (08:30-09:30) or 11 November 2021(13:00-14:00)
- Assignment 1 - 13 December 2021 (results 11 February 2022)
Module 2 (Group 1)
- Virtual Classroom 2 – 5 January 2022 (09:30-12:30)
- Group Tutorial 2 – 7 January 2022 (09:30-11:00)
- Assessment Preparation Session – 18 January 2022 (13:00 – 14:00) or 21 January 2022 (08:30-09:30)
- Assignment 2 – 21 February 2022 (results 14 April 2022)
Module 3 (Group 1)
- Immersive Scenario – 9 March 2022 (09:00-13:00)
- Group Tutorial 3 - 11 March 2022 (09:30-11:00)
- Assessment Preparation Session – 20 April 2022 (13:00-14:00) or 22 April 2022 (08:30-09:30)
- Assignment 3 – 23 May 2022 (results 5 August 2022)
Module 1 (Group 2)
- Virtual Classroom 1 – 13 October 2021 (14:30-17:30)
- Group Tutorial 1 – 15 October 2021 (14:30-16:00)
- Assessment Preparation Session - 8 November 2021 (08:30-09:30) or 11 November 2021(13:00-14:00)
- Assignment 1 - 13 December 2021 (results 11 February 2022)
Module 2 (Group 2)
- Virtual Classroom 2 – 6 January 2022 (14:30-17:30)
- Group Tutorial 2 – 7 January 2022 (14:30-16:00)
- Assessment Preparation Session - 18 January 2022 (13:00 – 14:00) or 21 January 2022 (08:30-09:30)
- Assignment 2 - 21 February 2022 (results 14 April 2022)
Module 3 (Group 2)
- Immersive Scenario – 8 March 2022 (13:30-17:30)
- Group Tutorial 3 – 11 March 2022 (14:30-16:00)
- Assessment Preparation Session - 20 April 2022 (13:00-14:00) or 22 April 2022 (08:30-09:30)
- Assignment 3 - 23 May 2022 (results 5 August 2022)
By attending this course you will:
- Get to grips with the nuances of the regulatory environment and how these impact your organisation
- Understand why promoting a positive compliance culture is not just good for compliance but good for business
- Explore how to maximise the benefits of emerging technologies
- Develop your inter-personal skills so you can be the best Compliance Manager
- Learn from the experiences of compliance professionals from other firms and sectors and share ideas
This course is suitable for:
- Compliance Officers/Managers and their Deputies
- Managers with responsibility for internal compliance controls
- Risk Managers
- Internal Audit Staff
- Regulatory Representatives
- Individuals who completed the ICA International Advanced Certificate in Regulatory Compliance
- Company Secretaries
You will be assessed by means of three 3,000-3,500 word assignments – two during and one at the end of the course.
This course is awarded in association with Alliance Manchester Business School, the University of Manchester and the course fee includes a printable certificate once you have completed the course.
The content of the course requires you to possess:
- A sound educational background, e.g. degree or professional qualification in an appropriate discipline
- An ICA International Advanced Certificate
- Three years relevant work experience
In order to study any ICA qualification you need to be a member of the ICA. If you are not currently a member of the ICA. Membership will be added to your basket during checkout of your online enrolment.
We have five different levels of individual membership. Whether you are just starting out in your career, already hold an ICA qualification or are an experienced practitioner, there is level appropriate for you and this will be activated at the same time as your course commences.
Whilst the GTA facilitates the training for ICA qualifications, you need to enrol online directly with the ICA. Scroll down when you reach this page and enter Guernsey when it asks ‘Where are you based?’ You can then follow the process to enrol.