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APPLIED REGULATORY ANALYST

APPLIED REGULATORY ANALYST

COURSE OVERVIEW

The Applied Regulatory Analyst training course provides you with the skills to create process flows that are cross-referenced to regulatory rule requirements to represent Standard Operating Procedures for a Regulated Entity.

Target Audience

Team Members, TeamLeaders and first-time Managers who want to develop a Business Analystskillset to work effectively with complex regulatory rules.Business Analysts who want to learn proven process-centric methodology that has been applied in Regulated Industries for more than 20 years.

Course Objective

The objective of the course is to develop the skills to create easy-to-follow business process flows that are verifiable to rule sources.

“ Each Regulated Entity should review the regulatory responsibilities placed on it and should identify precisely under which function each regulatory obligation falls ”

The process flows are used by Regulated Entities:

  •  As Standard Operating Procedures for training•As functional specifications to select or build systems
  •  To demonstrate compliance with Regulatory Requirements
  •  To clearly define processes and service level agreements for delegates
  •  To connect the Governance, Management and Operations TeamsThese skills can be applied to any regulatory theme to create a matrix that cross-references Operational Practices to rule requirements.

 

Description

 

BUSINESS ANALYST SKILL SET

  • Skills to convert complex regulatory rule requirements into easy-to-follow operating procedures.
  • Proven Business Analysis methodology
  • Case studies for the main regulatory themes.Series of structured exercises to achieve expected results.
  • DevOps skills to enable Operations and Technology teams to work effectively to deliver digital transformation projects in Regulated Entities.

 

LEARNING OBJECTIVES

Baseline Rule Requirements – Create a rules library linked to regulatory source documents to capture the rule requirements accurately.
Impact Assessment – Identify each document impacted by the rule requirements.
Document Definition – Create an index to define each document identified in the impact assessment.
Dependency Analysis – Create a dependency tree to connect each rule requirement to the document relied on to demonstrate compliance.
Business Process Definition – Define the process that creates each document in the document index.
End-to-end Process-flows – Create an end-to-end process flow to connect each deliverable’s governance, management, and operations activities.
Process Decomposition – Create sub-processes to provide more detailed instructions for each of the process definitions.
ComplianceRulesMatrix – Connect each entry in the rule’s library to the relevant process definition in the end-to-end process flow.

 

CASE STUDIES

The Applied Regulatory Analyst training course uses real-world case studies for the main regulatory, statutory, and contractual themes.
KYC: Criminal Justice Money Laundering &Terrorist Financing Act2010
CP86: Fund Management Companies –Guidance
UCITS & AIFs: Regulations and Rulebooks.
MiFID: Markets in Financial Instruments Directive 2014/65/EU
SFDR: Sustainable Finance Disclosure Regulation 2019/2088/EU
GDPR: General Data Protection Regulations 2016/679/EU
Contractual: Pro-forma offering documents

 

Flexible Delivery

The Applied Regulatory Analyst training course has been designed to offer flexible delivery.

Public Training Course. As a one-day public training course delivered by PAT FinTech.

Self-directed training Course. As an online self-directed training course supported by instructional videos with exercise feedback reviews.

Training the Trainer. For in-house training teams, as a training, the trainer course is supported by a facilitator’s Guide and learning aids.

Onsite and Remote. The Applied Regulatory Analyst can be facilitated in a single location or remotely to meet flexible working requirements.

 

SKILL TRANSFER

Applied Regulatory Analysis, a best practice training course. Candidates will complete a series of structure exercises set out in an Activity Workbook using a cloud-based Business Analysis App. The skills acquired during the course can be applied to many Apps, including Microsoft Visio, PowerPoint, and SharePoint.

Learning and Development Professionals

The learning objectives for the Applied Regulatory Analyst training course conform with the behaviour-standard-condition structure and have been designed to measure and report on immediate reaction, skill transfer and post a course on the job application (Kirkpatrick Levels I, II & III).