As regulatory expectations continue to evolve, compliance teams are under increasing pressure to demonstrate effective oversight, strong governance, and measurable program performance.

This workshop will help you assess the maturity of your compliance program, identify common weaknesses, and develop practical approaches to strengthen governance, testing, documentation, and regulatory readiness.

You’ll leave with proven strategies, implementation ideas, and a roadmap for building a more resilient and regulator-ready compliance function. Topics of discussion will include:

• Establishing core program elements aligned to current and emerging expectations
• Embedding practices that demonstrate consistency, documentation discipline, and defensible decision‑making
• Clarifying ownership and accountability: Mapping responsibilities, escalation paths, and organization‑wide tracking of compliance activities
• Strengthening KYC and broker oversight to ensure protocols meet regulatory scrutiny and support ongoing monitoring
• Staying ahead of AML requirements, maintaining audit‑ready records, and preparing for examinations
• Executing testing that satisfies regulators, uncovers gaps, and demonstrates program effectiveness
• Conducting forward‑looking gap analysis, identifying vulnerabilities, and preparing for incoming rules and guidance