GCI: Regulated Compliance Specialist Syllabus
The GCI RCS Certification, delivered by UK specialists Compliance Consultant teaches you how to manage the regulatory compliance business, compliance scope, compliance testing and examinations, and so much more.
Our study guide for this certificate discusses the scope of compliance with regulator instructions according to the laws and regulations of various countries. More important now that the UK has left the EU.
Perhaps more importantly, it also discusses the compliance department’s relationship to other departments within an institution — like the legal department and the internal audit department — and how to handle large quantities of local and international regulations to determine compliance responsibility.
Lastly, our study guide discusses the compliance testing and examinations process and how it differs from an internal audit review while helping you implement a risk-based compliance approach and determine the inherited and residual risk of each regulation and how to report violations.
We help you understand what it means to be a compliance specialist.
Understanding the Regulatory Environment
- What is Regulatory Compliance Exactly?
- The Scope of Regulatory Compliance Department
- Understand your responsibilities
Institutional Compliance and Governance Framework
- Organisational Structure
- Business Intersection
- Internal Audit
- Risk Management
- Legal Department
- AML Division
- Top Management and BOD
Compliance in Practice
- Dealing with Regulators
- Periodic Reporting
- Compliance Monitoring
- Compliance Policy
- Modules of Compliance Examination, How to start?
Risk-Based Approach in Compliance Monitoring & Testing
- Identify the Inherent risks
- Analysis of Controls and Risk Mitigations
- Calculate the residual Risk and determine the next testing date
- Compliance Monitoring and Examination Process
- Build Compliance Examinations System
- Preparing Compliance Reports
- What to Include and what not
And Much More!
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