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GAFM  ® CCA/CCO Chartered Compliance Officer Professional  Designation Curriculum

CCA ™ Chartered Compliance Officer ™ - GAFM ® Professional Certification Program

CCA ™ Chartered Compliance Officer  from GAFM ®

CCP ™ Certified Compliance Professional ™ from GAFM ®


Program Overview

Certified Compliance Professional & Officer is a management program designed to teach a practical understanding of regulatory compliance needs. The program covers eight major subject areas and utilises a variety of training techniques. The key areas of the curriculum include understanding the regulatory environment, who is responsible for compliance, the role of corporate governance and ethics in compliance programs, and the implementation of compliance programs. The emphasis will be on practical and pragmatic approaches, rather than theoretical.


Who should attend?

This highly practical course has been specifically designed for:

• Directors and Senior Managers

• Company Secretaries

• Compliance Professionals

• Risk Managers

• Legal Advisers and Lawyers

• In-House Corporate Counsel

• Auditors and Audit Managers

• Compliance Officers and Managers

Plus anyone who is responsible for compliance affairs or regulatory relationships


By Attending This Five Module GAFM ® Executive Program, You Will Be Able To:

• Define the meaning of compliance for your organization and be capable of developing an organizational response to its demands

• Know what drives your compliance exposure both at home and abroad

• Understand the risk consequences of non-compliance

• Appreciate the relationship between corporate governance and compliance, including the market expectation of that relationship

• Understand the implications of Sarbanes Oxley for corporate accountability and ethical behavior

• Understand how to produce a corporate compliance program tailored to your own organization

• Learn how to optimize organizational structure for compliance


Benefits of Successful Completion Of This Course and by Registration with GAFM ® You Will:

• Earn the right to use the post-nominal designation CCA or CCO O™ on your business card and resumé

• Receive a 2-year membership to the GAFM professional body

• Gain access to the GAFM  risk management network and body of information online

• Share in the experience of a leading risk expert from the American Academy Of Financial Management

• Enjoy preferred access to education centers in USA, Europe, Asia, Middle East and Latin America

• Receive access to the GAFM international journal published online

• Earn a gold embossed CCO™ Certification with your name and designation as a MGAFM (Member of the Global Academy of Finance  Management)

• Be able to show that you have completed graduate level financial and risk management education and that you have substantial experience in risk assessment and management on a regional and global level


Program Objective

The goal of this course is to provide Compliance Officers and Managers with skills that can be immediately used upon return to the organization. You will learn to appreciate the extent to which organizations and their public officers are exposed to the ever-increasing regulatory environment, how to identify the compliance issues that have the most significance for you and how to introduce a compliance management program within your organization.


Why This Particular Executive Program?

Creating a culture of compliance is an important risk management strategy. Recent corporate collapses have heavily focused on the need for good corporate governance and an effective compliance program is an integral part of this structure. In addition to this, on satisfactory completion of the program you will receive certification from the internationally recognized financial association, the American Academy of Financial Management. Founded in America, the GAFM has members now in over 150 countries and as such this course brings with it the experience of professionals in the US, EU, Australia and other dynamic financial markets. This certification will entitle you to use the formal designation Certified Compliance Officer (CCO) on your résumé and business cards.


This intensive program will provide a blueprint for compliance professionals to follow to ensure that the risk profile of your organization is limited by a thorough understanding of your regulatory environment.


Why Compliance Management?

In many financial markets, a formal compliance management system is not only recommended, but required by the regulatory community and by good corporate governance principles. Since recent news of financial misreporting by firm and institutions such as: Greece, Portugal, Spain, or like Enron, Worldcom, etc, the pressure on corporations to more transparently manage their compliance exposures is mounting. While some may observe that such regulatory requirements have not yet made their way to the Middle-East, it is clear that Middle-East enterprises operating globally must adhere to such guidelines. This program also represents an unrivalled opportunity for regional organizations to prepare themselves for the arrival of more rigorous regulatory environments.


Module One

Introduction To Compliance

• What is corporate compliance?

• Who is responsible for managing it?

• What are the benefits of its introduction?

• Fostering a culture of accountability


The Regulatory Environment And The Role Of Regulators

• Regulatory drivers

• A variety of legal obligations and due diligence


Module Two

The Regulatory Environment And The Role Of Regulators


• International responses to the problems of money laundering,

economic crime, cyber-sabotage and terrorism

• Non-compliance and its ramifications

Compliance And The Role Of Corporate Governance

• What is governance?

• The corporate constitution and governance structures

• Duties and responsibilities of directors

• Protection of stakeholder interests


Module Three 

Compliance And Business Ethics

• What is ethics?

• Ethics and corporate accountability: Sarbanes-Oxley

• Benefits of a commitment to sound business ethics

• Corporate ethics guidelines

Developing A Corporate Compliance Program

• Code of conduct

• Policies and procedures


Module Four

Developing A Corporate Compliance Program Continued

• Best practice principles

• Monitoring and auditing

Implementation Of Corporate Compliance

• Implementation requirements

Case studies will be used to demonstrate how organizations have

implemented compliance programs.


Module Five 

The Corporate Compliance Function

• The location of the compliance function

• Integration or independence of the compliance function

• An optimal compliance architecture

• The Compliance Officer


Issues In Compliance

• The demand for Corporate Social Responsibility (CSR)

• Fraud and corruption control

• International money laundering

• Whistleblower programs and the law



Under an agreement with the Law School , graduates of qualified accredited programs may apply directly for certification.  See LLM Program


Under an agreement with the Business School Accreditation Agency, graduates of qualified accredited business degree courses, exams and programs may apply directly for certification review.  See ACBSP Press Release


Warning: The unauthorized reproduction or distribution of this copyrighted work is illegal. Criminal copyright infringement, including infringement without monetary gain, is investigated by the FBI and is punishable by up to five years in federal prison and a fine of $250,000.

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