Control identification and risk assessment

Event Details

Control identification and risk assessment training forms part of the compliance methodology training series. It is preceded by Introduction to Compliance and is followed by Compliance risk management plans (CRMPs).

This practical, virtual, CPD training course will enable you to understand and apply knowledge of compliance controls, control categorisation, effectiveness, efficiency and adequacy.

Key take aways:

to define the term 'compliance control' in their own words, and understand how compliance controls feature in varying degrees across all the phases n the Compliance Risk Management Process (i.e. profile, Compliance Risk Management Plan (CRMP), monitoring, reporting phases);
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;
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;
to formulate robust compliance controls that will enhance the quality of CRMP's and ease the monitoring process;
to use their knowledge of control attributes in compiling a CRMP;
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);
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);
to draft a control deficiency observation; and
to determine the root cause for an observation.

Who should attend:

Individuals who are writing the Occupational Certificate: Compliance officer EISA or Board exam for the CPrac (SA) designation
Compliance officers
Compliance administrators who have responsibilities that relate to control identification and risk assessment
Compliance monitoring specialists
Internal auditors

Recommended prerequisite:

Understanding the GACP
Understand the compliance management process and environment (attend the Introduction to Compliance course)
Attend the CRMP training course

What is included:

Slide deck.

CPD: 15 Hours

Investment (virtual):

Member rate: R7,632excl VAT / R8,776 incl VAT.

Non-member rate: R8,395.20 excl VAT / R9,655 incl VAT.

Non-SA options for above excludes VAT.

For inhouse training enquire at enquiries@compliancesa.com or complete this inhouse enquiry form

NOTE:

CISA will make every effort to host the specified training on the date / s as advertised. However, should unforeseen circumstances arise or an extenuating circumstance that is out of our control, we reserve the right to cancel or postpone the training. In event of CISA cancelling and or postponing the session, communication will follow in writing for next steps.
No AI readers are permitted.

Your professional development roadmap, - what is next?"

Compliance risk management plans (CRMP).
Monitoring.

For any queries contact enquiries@compliancesa.com.

Speakers

LELANIE NAUDE
CEO/Founder, Empowerment and Uniqueness Coach 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 CPrac(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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Gert Van Wyk
Director of EXP Group
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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Documents

Training Outline-Control ID and risk assesssment - 2025.pdfdownload

Tickets

Virtual ticket (member)

Members in good standing rate.
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 7,632

Virtual ticket (non-member)

Non-members rate.
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 8,395.20

Non-SA virtual ticket (member)

Non-SA members in good standing rate.
Prices shown exclude VAT per person. Vat is not charged.

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 7,632

Non-SA virtual ticket (non-member)

Non-SA non-members rate.
Prices shown exclude VAT per person. Vat is not charged.

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.)