RCM in Motion
This course will focus on applying the foundational elements of an effective Regulatory Compliance Management Framework and inspire you to champion RCM within your organization.

What You’ll Learn

  • The importance of establishing Compliance Risk Taxonomies that are mutually exclusive and collectively exhaustive

  • The differences between Compliance Risk Appetite, Compliance Risk Tolerance, and early warning Key Risk Indicators

  • The core elements of an effective Compliance Universe and optimal level of granularity at which to perform RCM activities and how to ensure your Compliance Universe is accurate and complete at all times

  • How to develop and implement an effective Compliance Risk and Control Assessment (“CRCA”) process and the difference between CRCAs and Risk and Control Self Assessments (“RCSAs”).

  • Understand the difference between Monitoring and Testing (“M&T”) and the key elements of an effective M&T program. Understand how important M&T activities are to supporting the CCO Opinion with verifiable data

  • The importance of having a comprehensive Issues Management program to your ability to develop leading early warning indicators

  • Tips and tricks for establishing Compliance Risk Reporting that focuses on what matters, informs decision-making, and is supported by qualitative and quantitative data

  • Quality Assurance models and the key elements of an effective Self-Assessment process to enabling continuous improvement of your RCM program

Who Will Benefit?

  • Individuals with < 3 years of practical hands-on E-13 compliant RCM experience

  • Individuals responsible for oversight of specific regulatory risks as part of the organization’s RCM reliance model

  • Individuals within first line of defence or corporate function who contribute to execution of the RCM Framework within their area(s) of responsibility

RCM in Motion is available in both a self-paced model (36 hours), or in an instructor-led interactive online cohort (7 weeks).

Additional information


Self-Paced Online Learning, Interactive Online Cohort – January, Interactive Online Cohort – October, Interactive Online Cohort – July, Interactive Online Cohort – April

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