EXPLORE PROGRAMS
Being a compliance officer in Canada is a regulated function with personal accountability and significant organizational impact. Whether newly appointed or a seasoned practitioner, compliance officers must operate at the intersection of regulation, operations, technology, and culture — and must be able to demonstrate independence, authority, and judgement. This course is built for the appointed compliance officer of a reporting entity. It covers the legal duties and protections of the role under the PCMLTFA and other Canadian financial-services legislation, the practical mechanics of running a compliance program, the relationship with the board and senior management, and personal career and credential development. It is suitable for new and recently-appointed compliance officers and as a refresher for experienced practitioners.
You will learn the legal duties and protections of the compliance officer role, the practical mechanics of running a compliance program, how to manage the relationship with the board and senior management, how to work with the second and third lines of defense, and how to develop your own credentials and career.
Course Cost :
$100.00
