Compliance Institute Masterclass - Series 2 - Regulatory & Compliance Accountability
Compliance Institute Masterclass - Series 2
Regulatory & Compliance Accountability
Event Details
Date: 7th December
Time: 13:00pm - 14:00pm
CPD: 1 hour LCI, FCI (Ethics), FCI (Compliance), CFCP, CECA, CFRCP, QFA, CPD Member, RS CPD Member, Professional Banker, Chartered Banker, Certified Bank Director, Certified Inv Fund Director, Accredited Funds Professional
Fee: €25 to Members, €35 to Non Members
Online: GoTo Webinar
Overview
- Senior Executive Accountability Regime (SEAR)
- Individual Accountability Framework (IAF)
- Key Controlled Functions/Pre-Approval Controlled Functions
- Role of Head of Compliance/MLRO
- Lessons from Senior Manager & Certification Regime (SM&CR)
Kian Caulwell: Partner, Head of Financial Services Consulting at Mazars Ireland
Kian Caulwell is a partner and Head of Financial Services (FS) Consulting in our practice in Ireland with over 16 years’ FS experience. As the Head of FS Consulting, he is responsible for leading our FS regulatory compliance and risk consulting services. He is a qualified Chartered Accountant, a Chartered Internal Auditor and a member of the Consumer Protection Working Group at the Compliance Institute.
He has significant experience in supporting clients in their preparations for regulatory inspections, developing action plans to address regulator feedback and undertaking regulator instructed, independent third party regulatory assurance reviews across the Irish and UK regulatory jurisdictions. His areas of specialisms include, corporate governance, risk management and compliance governance, consumer and investor protection.
The Compliance Institute's CPD Programme is designed specially to support the compliance professional in developing the skills and competences required to perform their role and is also a requirement to maintain your Compliance Institute designation. For more information on Compliance Institute designations, click here.
For a full list of our upcoming CPD events, click here.