2019 Guernsey Risk & Compliance CPD Seminar Series – Implementing a robust Compliance Monitoring Programme
Professional Development
Overview
This seminar forms part of the 2019 Guernsey Risk & Compliance CPD Seminar Series – a series of 10 CPD seminars, which take place once a month.
The 2019 Guernsey Risk & Compliance CPD Seminar Series provides essential updates for those working in compliance and risk management roles, delivered by industry recognised experts. This series will comprise 10 monthly seminars of 60 minutes, inclusive of a 15-minute Q&A, covering a wide range of topics.
Book the full series
Suitable For
All financial services professionals, in specific those working within the compliance function.
This course has already run and a new date has not yet been scheduled. Please contact us to register your interest.
GENERAL INFORMATION
Timings: 15:00-16:00 (Registration from 14:45)
Venue: The Old Government House
BENEFITS
- Hard copies of speakers’ notes/slides are provided – subject to availability
- Certificates of attendance are provided
- Refreshments are provided
- 1 hour of CPD
SEMINAR CONTENT:
- Advice on how to implement an efficient and effective compliance monitoring programme
- Examples of where financial services businesses have fallen short in compliance monitoring
- How to ensure the plan is appropriately resourced and enhances the businesses overall assurance programme
SPEAKER:
Sally Rochester, Director - Risk & Regulatory Services at Deloitte |
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Sally, a Director in the Guernsey office, leads our Channel Islands Risk & Regulatory team. Sally works with regulators on both islands as well as local, and locally based, global clients. Upon qualification as a CA Sally assisted with the opening of a big four firm’s new office in the BVI, specialising in hedge fund, fund administration and banking audit work, before moving to Jersey in 2009 as Head of Internal Audit for the offshore group of a bank. There she was responsible for overseeing the bank’s internal control, risk management and governance processes before joining Deloitte in Jersey in 2013. Since 2015 Sally has been based in the Guernsey office. Sally holds an MSc in Banking & Finance and extensive experience within the global custody, fund administration and trust industries. |
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