Preparing for a regulatory inspection and delivering an effective risk mitigation programme action plan (Online)
Preparing for a regulatory inspection and delivering an effective risk mitigation programme action plan
Date: Monday,17th April
Time: 13:00 - 14:00
CPD: 1 hour LCI , FCI (Compliance)
Fee: €25 for members, €35 for non members
- Overview of a typical Central Bank of Ireland (CBI) inspection lifecycle
- Key actions your Firm can take in preparation for an inspection and why
- How to constructively engage with the CBI throughout the engagement
- Key considerations when developing your risk mitigation programme action plan, including:
- Governance and oversight
- Programme management
- On-going CBI communication.
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.
Kian Caulwell: Partner, Head of Financial Services Consulting
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.
Cara Hyland: Head of AML Advisory
Cara joined Mazars in 2022 as Head of AML Advisory, having previously been a senior supervisor within the Central Bank of Ireland’s Anti-Money Laundering Division. At Mazars she advises clients on their regulatory engagement approach as well as undertaking independent third party regulatory assurance reviews. She has a particular focus in the areas of corporate governance, culture and anti-money laundering and combatting the financing of terrorism.
During her career at the CBI she has held a number of supervisory responsibilities for a broad range of regulated of firms, including wholesale credit institutions, funds, fund service providers, e-money and payment firms.
Leading Supervisory Engagements, including the provision of feedback to firms, development and oversight of Risk Mitigation Programmes (RMP).
Fitness and Probity Assessments and Interviews - Conducting interviews with existing or proposed senior managers for pre-approval control function (PCF) within regulated firms.
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