Compliance Monitoring Program & Assessment

The Compliance Monitoring Program & Assessment is a self-study course that outlines essential information regarding the Compliance Risk Assessment (CRA), the Compliance Function and the Compliance Monitoring Program (CMP). The course discusses the key features, inspection areas and methodology of the CMP, provides valuable compliance tips on their application taking into consideration the desk-based review of Circular C441 and Circular C553 on the guidelines on certain aspects of the compliance function requirement.

The course is suited and recommended for the fulfilment of the annual Continuous Professional Development (CPD) requirements of Compliance Officers and Assistants, as well as professionals working at Cyprus Investment Firms (CIF) and other CySEC regulated entities.

Instructor

Evdokia Pitsillidou

Format

Online self-study

5 hours of CPD

Price

120€

course contents

your instructor

Evdokia Pitsillidou

Evdokia, a partner at SALVUS Funds, is actively advising and working on all matters related to licensing, regulatory compliance, and internal audit for investment firms, funds, Electronic Money Institutions (EMI) & Crypto-Asset Services Providers (CASP).

Member of the Global Institute of Internal Auditors (IIA)
Member of the Cyprus Investment Funds Association (CIFA)
Certified Actuarial Analyst (CAA)
CySEC Advanced Certified Person
CySEC certified Anti-Money Laundering Compliance Officer (AMLCO)

The Compliance Monitoring & Assessment course has been developed by SALVUS Funds to equip professionals with the necessary knowledge regarding the Compliance Function and the implementation of the Compliance Monitoring Program and Risk Assessment.

Establishing an effective Compliance Function which employs adequate monitoring procedures based on risks presented by everyday operations is considered a cornerstone on the development of a firm involved in the investment services industry. This self-paced learning course is geared for professionals holding key positions in Cyprus Investment Firms (CIF), Crypto-Asset Services Providers (CASP), and other CySEC (Cyprus Securities and Exchange Commission) regulated entities.

Professionals who complete this course will gain competencies to establish and enhance the required Compliance Monitoring Program by utilising the findings of the Compliance Risk Assessment, as well as identify existing deficiencies within the Compliance Function processes and adopt CySEC proposed practices in this regard.

The completion of this course counts towards Continuous Professional Development (CPD) annual requirements for CySEC Advanced and certifications.

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