ISO 19600 – Compliance Management System Auditing in Financial Services
Course Overview
- Understand the key principles and framework of ISO 19600 for compliance management.
- Identify and assess compliance risks in financial services.
- Conduct effective audits of compliance management systems tailored to the financial services industry.
- Develop audit reports and provide actionable recommendations for continuous improvement.
Training Format:In-class, Virtual, In-house
Location:Lagos, Accra, Nairobi, Kigali
Language:English, French
Nigeria Price:
₦300000
Int'l., (Nigeria) Price:
$1000
Ghana Price:
$4000
Kenya Price:
$5500
Rwanda Price:
$6000
Nigeria Price:₦300000
Int'l., (Nigeria) Price:
$1000
Ghana Price:
$4000
Kenya Price:
$4000
Rwanda Price:
$4000
Nigeria Price: ₦300000
Int'l., (Nigeria) Price:
$1000
Ghana Price: $4000
Kenya Price: $4000
Rwanda Price: $4000
Introduction to ISO 19600 and Compliance in Financial Services
- Overview of ISO 19600: History, principles, and framework.
- Importance of compliance in financial services.
- Regulatory landscape and its impact on compliance requirements.
- Key components of a compliance management system (CMS).
Compliance Risk Identification and Assessment
- Understanding compliance risk in financial services.
- Tools and methodologies for risk assessment.
- Aligning compliance objectives with organizational goals.
- Case studies: Common compliance risks and scenarios.
Auditing Compliance Management Systems
- Planning and preparing for a compliance audit.
- Audit techniques: Interviews, document reviews, and process evaluation.
- Evaluating the effectiveness of compliance measures.
- Key considerations for audits in financial services.
Reporting, Follow-up, and Continuous Improvement
- Structuring audit findings and preparing reports.
- Communicating audit results to stakeholders.
- Developing recommendations for corrective actions and improvements.
- Ensuring ongoing compliance and maintaining an audit cycle.
1ST BATCH: Tuesday, January 13, 2026 — Friday, January 16, 2026.
2ND BATCH: Tuesday, May 5, 2026 — Friday, May 8, 2026.
3RD BATCH: Tuesday, September 1, 2026 — Friday, September 4, 2026.
The training methodology integrates lectures, interactive discussions, collaborative group exercises, and
illustrative examples. Participants will acquire a blend of theoretical insights and hands-on practical
experience, emphasizing the application of learned techniques. This approach ensures that attendees return
to their professional environments equipped with both the competence and self-assurance to effectively
implement the acquired skills in their responsibilities.
