Pensions and Retirement Training Course on Compliance Monitoring Frameworks
Master Pensions Retirement Training with expert training. 10 Days course with certification. Comprehensive training program. Online & in-person. Enroll now!
Pensions And Retirement Courses10 DaysCertificate Included
Duration
10 Days
Mode
Online & Physical
Certificate
Included
Language
English
Course Overview
This advanced training equips participants with the knowledge and tools to design, implement, and evaluate effective compliance monitoring frameworks for pension and retirement schemes. The course emphasizes the principles of regulatory compliance, internal governance, and continuous monitoring mechanisms to ensure integrity, transparency, and alignment with pension laws and supervisory standards. Participants will gain hands-on experience in compliance risk assessment, reporting, and integration of technology into compliance monitoring systems.
Secure enrollment • Professional certificate included
Learning Objectives
By the end of this course, participants will be able to:
Understand the key components of compliance monitoring in pension and retirement systems.
Identify legal and regulatory requirements affecting pension fund operations.
Design compliance monitoring frameworks aligned with local and international standards.
Develop compliance risk assessment tools and key compliance indicators (KCIs).
Implement procedures for compliance testing, evaluation, and reporting.
Strengthen organizational compliance culture and accountability structures.
Utilize technology and data analytics to enhance compliance oversight.
Conduct compliance audits and ensure corrective action follow-up.
Align compliance monitoring with governance and risk management frameworks.
Develop compliance manuals, reporting templates, and monitoring dashboards.
Course Content
Module 1: Introduction to Compliance and Monitoring in Pension Systems Definition, purpose, and scope of compliance monitoring Importance of compliance in pension fund sustainability and governance Roles and responsibilities of compliance officers and regulators Principles of compliance risk management Global trends and best practices in pension fund compliance Module 2: Regulatory and Legal Framework for Pension Compliance National and international pension laws, regulations, and standards Regulatory requirements for pension funds and trustees Reporting obligations to regulators and stakeholders Compliance with AML, data protection, and corporate governance standards Cross-border compliance issues and harmonization Module 3: Components of an Effective Compliance Monitoring Framework Structure and elements of a compliance monitoring framework Policies, procedures, and compliance charters Compliance risk management cycle (identify, assess, monitor, report) Key compliance indicators (KCIs) and key risk indicators (KRIs) Integration with internal control and risk management systems
Module 4: Designing Compliance Policies and Procedures Developing a compliance policy and code of ethics Drafting compliance manuals and operational guidelines Procedures for documentation, approvals, and record-keeping Compliance testing and evidence collection methods Aligning policies with organizational strategy and regulatory expectations Module 5: Compliance Risk Assessment and Reporting Conducting compliance risk assessments Risk scoring and prioritization methodologies Compliance risk registers and dashboards Reporting non-compliance and breach escalation processes Designing templates for compliance reports to management and regulators Module 6: Compliance Audits and Internal Oversight Purpose and types of compliance audits Audit planning and scope definition On-site and off-site compliance monitoring techniques Coordination between compliance, internal audit, and risk functions Post-audit reporting, remediation, and follow-up Module 7: Technology and Automation in Compliance Monitoring Role of technology in enhancing compliance oversight Compliance management systems (CMS) and monitoring dashboards Data analytics, AI, and digital reporting tools Cybersecurity and data protection in compliance processes Leveraging automation for continuous compliance testing Module 8: Ethics, Governance, and Compliance Culture Building a compliance-conscious organizational culture The role of leadership and tone at the top Ethical behavior, integrity, and fiduciary responsibilities Whistleblower mechanisms and protection Case examples of governance lapses and recovery strategies Module 9: Performance Measurement and Continuous Improvement Measuring compliance performance and maturity Developing compliance KPIs and scorecards Benchmarking compliance effectiveness Lessons learned from regulatory reviews and audits Continuous improvement and adaptive compliance strategies Module 10: Practical Workshop and Case Studies Case studies on compliance breaches and remediation plans Group exercise: Designing a compliance monitoring framework for a pension fund Simulation: Developing compliance dashboards and reporting templates Role play: Compliance officer–trustee–regulator interaction Presentation of group frameworks and peer evaluation Course summary, feedback, and certification ceremony
Who Should Attend
Pension fund managers, compliance officers, trustees, internal and external auditors, legal officers, regulators, policy makers, risk managers, actuaries, financial controllers, and professionals involved in pension fund governance and supervision.
