Planning and Implementing an Ethics & Compliance Risk Assessment Program


Instructor: Stanley Epstein 
Product ID: 706773
Training Level: Advanced

  • Duration: 90 Min
An ethics and compliance risk assessment is the foundation of an effective ethics and compliance risk management program. This detailed course provides a 12-stage framework that will help you complete your own ethics and compliance risk assessment. The 12 stages are divided into two components, the Planning Phase and the Implementation Phase. With a completed ethics and compliance risk assessment and armed with your findings and action plan, you will be equipped to develop and implement an effective ethics and compliance risk management program.
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Why Should You Attend:

In this hands-on course, we provide a wealth of practical tips on how to go about these tasks.

Along the way we are also going to look at a number of major components and themes relating to the ethics and compliance risk assessment.

The planning phase consists of six stages;

  • Leadership buy-in.
  • Setting up the process.
  • Resources.
  • Framework & methodology.
  • Risk appetite.
  • Automation.

The Implementation Phase has six stages too;

  • Collecting the data.
  • Identifying ethics and compliance risk factors.
  • Inherent risk.
  • Identifying, mapping and rating mitigating controls.
  • Residual risk.
  • Developing the action plan.

As an added bonus, the approach that we use in this course may be easily applied to any form of compliance, ethics, or conduct risk. What this means is that that the process will work equally well for data privacy, bribery and corruption, conflict of interest, financial integrity and fraud, modern slavery and other forms of economic crime.

  • Ethics and compliance lie at the heart of managing risk.
  • Explore why ethics and compliance is so important for the modern business.
  • Identify essential elements of the main regulatory ethics and compliance requirements in the US, the UK, the OECD and France.
  • Discover how the COVID-19 pandemic altered the business risks.
  • Recognize the key stages of the planning and implementation phases.
  • Explore the different risk management frameworks.

Areas Covered in the Webinar:

  • Detailed coverage of each of the 12 stages
  • Definitions.
  • Understanding why ethics and compliance risk assessment are so important.
  • Regulations and compliance requirements in the US, the UK, France and the OECD.
  • How the COVID-19 pandemic changed the risk profile and what we need to do to counter these additional risks.
  • Details of the main risk management systems currently in use.

Who Will Benefit:

  • Operations and business staff at all levels
  • Commercial firms
  • Import/Export firms
  • Compliance Managers
  • Compliance Analyst/Investigators
  • Risk Managers
  • Due Diligence Departments or Individuals
  • Corporate Management
  • Directors, CEOs, CFOs

Free Materials:

  • Comprehensive Glossary
  • Cross-references to appropriate statutory and compliance websites
Instructor Profile:
Stanley Epstein

Stanley Epstein
Company Director & Principal Associate, Citadel Advantage

Stanley is a Principal Associate of the Citadel Advantage Group. Since 2001, Citadel Advantage has been working with banks and financial institutions to make them safer and more profitable, through consulting and training, specifically in the key areas of Governance, Risk Management and Compliance.

Stanley has over 50 years of banking and IT experience, 33 of which were with the Standard Bank of South Africa where during the 1990s he filled an industry level role holding several key positions including that of Chairman of the PASA Risk Committee. He also represented South Africa at two sessions, in New York, of UNCITRAL (the United Nations Commission on International Trade Law).

He holds a Master Degree in Economics and a Bachelor of Commerce (BCom.) degree, both from the University of South Africa, Pretoria.

Stanley has had extensive exposure to banking practice and banking operations in a number of countries including the USA, United Kingdom, South Africa, Israel, Europe and Australia. He has also acted as advisor to a number of central banks on payment systems, oversight, policy and payments risk issues.

He has also spent time in the high-tech sector as a payment systems designer and consultant to a global payments software developer.

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Refund Policy

Our refund policy is governed by individual products and services refund policy mentioned against each of offerings. However in absence of specific refund policy of an offering below refund policy will be effective.
Registrants may cancel up to two working days prior to the course start date and will receive a letter of credit to be used towards a future course up to one year from date of issuance. ComplianceOnline would process/provide refund if the Live Webinar has been cancelled. The attendee could choose between the recorded version of the webinar or refund for any cancelled webinar. Refunds will not be given to participants who do not show up for the webinar. On-Demand Recordings can be requested in exchange. Webinar may be cancelled due to lack of enrolment or unavoidable factors. Registrants will be notified 24hours in advance if a cancellation occurs. Substitutions can happen any time. On-Demand Recording purchases will not be refunded as it is available for immediate streaming. However if you are not able to view the webinar or you have any concern about the content of the webinar please contact us at below email or by call mentioning your feedback for resolution of the matter. We respect feedback/opinions of our customers which enables us to improve our products and services. To contact us please email [email protected] call +1-888-717-2436 (Toll Free).




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