Event Details

Practical training course to understand and apply knowledge of compliance controls, control categorisation, effectiveness, efficiency and adequacy.


Course objectives:

To assist the learner:

โ€ข to define the term 'compliance control' in their own words, and understand how compliance controls feature in varying degrees across all the phases in the Compliance Risk Management Process (i.e. profile, Compliance Risk Management Plan (CRMP), monitoring, reporting phases);

โ€ข to provide an overview of the key attributes of a control (type, category, degree of automation, frequency) that should be included in the organisation's Standard Operating Procedures (SOPs) and CRMP;

โ€ข to use their understanding of control categories, types and levels of automation to provide value-adding advice to business on control enhancements and/or shifts in the control environment to ensure cost effectiveness and efficiency;

โ€ข to formulate robust compliance controls that will enhance the quality of CRMP's and ease the monitoring process;

โ€ข to use their knowledge of control attributes in compiling a CRMP;

โ€ข to conduct the assessment of the Adequacy of a control and combination of controls to mitigate the risk of non-compliance to a provision of a compliance obligation by considering the efficiency, economy and existence of a control (practical methods and examples will be utilised);

โ€ข to conduct the Effectiveness of controls to mitigate the risk of non-compliance to a provision of a Compliance Obligation (practical examples will be utilised);

โ€ข to draft a control deficiency observation; and

โ€ข to determine the root cause for an observation.


Who should attend: We encourage Compliance Officers, Compliance Administrators and novices to compliance management or wanting to enter the compliance profession, or any other assurance provider from a combined assurance perspective to attend. The training programme would be ideal for those wishing to prepare for the Compliance Board Examinations, as it covers theoretical as well as practical aspects of the compliance control framework, especially as it relates to the CRMP and monitoring phases.


Investment:

Virtual

Member Early Bird rate: R 4,500 excl VAT / R5,1750 incl VAT

Member Standard rate: R6,000 excl VAT / R6,900 incl VAT


Non-member Early Bird rate: R 4,950 excl VAT / R5,693 incl VAT

Non-member Standard rate: R6,600 excl VAT / R7,590 incl VAT


CPD: 15 Hours


Action steps:

1: Register for this event;

2: Your application will be approved by Finance once your billing info and ticket selection has been vetted and an invoice generated (if a paid for ticket);

3a: For Paid event tickets: Upon approval of your registration, an invoice is generated;

3b: For Free event tickets or once you have paid for your ticket: You will receive a confirmation email with your access pass, a calendar event to add to the event to your calendar and a meeting link (for a virtual event) or location for in-person events;

3c: You will be able see all your registered events on MyGlue, Events icon on the left ribbon and go to the "Upcoming events" tab OR click on the ticket icon on the top ribbon on MyGlue;

4a: Any special instructions or training material will be provided to you before the time;

4b: You will receive email reminders of the upcoming event in the days and hours running up to the event;

5: Remember to complete the required instructions to claim your CPD, e.g. complete the feedback or check-in to sessions;

6: Your CPD will be issued for your attendance.

Speakers

  • Gert Van Wyk (Director of Exgroup)

    Gert Van Wyk

    Director of Exgroup

    Gert is a Chartered Accountant ((CA (SA)), Certified Internal Auditor (CIA), Professional Internal Auditor (PIA), Certified in Risk Management Assurance (CRMA) and Compliance Professional (CPROF (SA)) and holds an M. Com degree. He has a wealth of experience (30 years) in the Governance, Risk and Compliance and Audit disciplines. He fulfilled various roles in his career e.g., Chief Audit Executive, Group Compliance Officer, Head of Operational Risk Management. He consults in the disciplines of Combined Assurance, Governance, Risk Management, Compliance and Internal Audit as Director of EXP Consulting Network.

    He was the Chairman of the Audit, Risk and Governance Committee of the Compliance Institute Southern Africa (for the 14 years) and also the Chairperson of the Risk Committee of the South African Department of Home Affairs for a period of 3 years. He is a member of the South African Institute of Chartered Accountants, the Institute of Internal Auditors, and Compliance Institute Southern Africa. He serves on the Examination Committee of the Institute of Internal Auditors and is a moderator of the Compliance Institute Southern Africa’s CPRAC (SA) Board Exam.

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  • Lelanie Naude (CEO and Founder / Life Empowerment Specialist of Unique Life Empowerment)

    Lelanie Naude

    CEO and Founder / Life Empowerment Specialist of Unique Life Empowerment

    Lelanie is a self-confessed compliance nerd, with tremendous passion for people-connection. She holds 20 years of experience in the financial services industry, of which 16 years have been spent in various compliance risk management roles. She gained hands-on experience across all lines of assurance, with roles including that of Compliance Specialist at business unit, cluster and group levels, Compliance Project SME, Compliance Auditor and Compliance Framework Specialist, the latter including provision of in-house training to compliance teams.

    In addition to a B.Com (Law) degree, she holds a post-graduate diploma in Compliance Risk Management, and has been awarded the C.Prac(SA) designation in 2016. She is also an accredited work experience assessor, and supports the Compliance Institute with young professional mentorship support, work experience evaluations, board examination processes and training in her capacity as independent consultant. Her compliance qualifications are supplemented with various personal development accreditations, including an Education and Training Development Practitioner accreditation. She is at her happiest selling compliance as a business enabler, and is passionate about empowering knowledge share in the training space, where she gets to combine her two greatest passions of compliance and people.

    In 2020 she founded an empowerment business, and now focusses her energy and attention on her passion for people development. Her focus largely relates to general personal development and self-empowerment offerings to cater for the unique needs of her clients, however Compliance support to the compliance industry remains a key-focus. In addition to consultation with the Compliance Institute, she also offers compliance services to smaller organisations with undeveloped compliance functions, and provides consultative guidance and training to compliance teams in these organisations.

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Documents

Control Identification and Assessment - outline July 2023.pdfdownload

Tickets

Member (Virtual)

Prices shown exclude VAT per person.

If you are booking multiple tickets on behalf of other attendees, you will need to do the booking with the attendees to ensure that all acceptances and info provided by the attendee is accurate and aligns to their Glueup profile. (e.g. email, membership type, etc.)

Member Price R 6,000
Member Non-SA (Virtual)

Prices shown exclude VAT per person.

If you are booking multiple tickets on behalf of other attendees, you will need to do the booking with the attendees to ensure that all acceptances and info provided by the attendee is accurate and aligns to their Glueup profile. (e.g. email, membership type, etc.)exclude VAT.

Member Price Complimentary
R 6,000
Non Member (Virtual)

Prices shown exclude VAT per person.

If you are booking multiple tickets on behalf of other attendees, you will need to do the booking with the attendees to ensure that all acceptances and info provided by the attendee is accurate and aligns to their Glueup profile. (e.g. email, membership type, etc.)

Standard Price R 6,600
Non-member non-SA (Virtual)

Prices shown exclude VAT per person.

If you are booking multiple tickets on behalf of other attendees, you will need to do the booking with the attendees to ensure that all acceptances and info provided by the attendee is accurate and aligns to their Glueup profile. (e.g. email, membership type, etc.)

Standard Price R 6,600