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Duration 21 hours
Course Outline
Foundations of Compliance and Risk Management
- Exploring Compliance and its associated risks
- Identifying priority areas of focus
- Determining stakeholders for Compliance Officers and Money Laundering Reporting Officers
- Strategies for recognising and mitigating non-compliance risks
Developing and Overseeing a Compliance Risk Management Framework
- Adopting a systematic Risk-Management Approach
- Evaluating the positive and negative business impacts of implementing this approach
Compliance and Corporate Governance
- Defining Corporate Governance
- Analyzing its interaction with Compliance
- Identifying relevant stakeholders
- Core principles of Corporate Governance
- The role of Management Committees
- Reviewing relevant Codes and Guidelines
- The link between Corporate Governance and Financial Crime Prevention
Compliance Controls and Verification
- Understanding Regulatory expectations
- Designing a robust Compliance Monitoring Programme
Additional Financial Crime Considerations
- A fresh perspective on Money Laundering and Terrorist Financing
- Fraud prevention
- Data Protection and Information Security
- Handling Personal and Sensitive Information
- Implementing Data Protection Policies
- Bribery and Corruption
- The UK Bribery Act 2010
- The USA Foreign & Corrupt Practices Act
- Other key regulatory areas
- Consequences of Brexit
- Preventing Market Abuse and Insider Dealing
- Sanctions compliance
Financial Crime in International Business, Offshore Centres, and High-Net-Worth Client Relationships
- Understanding why financial criminals target International Business, Offshore Centres, and High-Net-Worth clients
- Assessing the major risks inherent in conducting such business
Looking Ahead
- Identifying current and emerging hotspots in Compliance and Risk Management
Testimonials (2)
The trainer was helpful..
Attila - Lifial
Course - Compliance and the Management of Compliance Risk
I genuinely enjoyed the real examples of the trainer.