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Duration 21 hours
Course Outline
Foundations of Compliance and Compliance Risk Oversight
- Grasping Compliance and its associated risks
- Key focus areas
- Stakeholders for Compliance Officers and Money Laundering Reporting Officers
- Mitigating the consequences of non-compliance
Establishing and Steering a Compliance Risk Management Framework
- Adopting a Risk-Management methodology
- Evaluating the positive and negative business impacts of implementing a Risk-Management approach
Compliance and Corporate Governance
- Defining Corporate Governance
- The interplay between Governance and Compliance
- Identifying key Stakeholders
- Core Corporate Governance principles
- The role of Management Committees
- Internal Codes and Guidelines
- Corporate Governance in preventing Financial Crime
Compliance Monitoring and Verification
- Regulatory expectations
- Developing a Compliance Monitoring Programme
Additional Financial Crime Considerations
- A new perspective on Money Laundering and Terrorist Financing
- Fraud prevention
- Data Security and Information Protection
- Handling Personal and Sensitive Data
- Data Protection Policies
- Anti-Bribery and Anti-Corruption
- The UK Bribery Act 2010
- The USA Foreign & Corrupt Practices Act
- Additional areas of regulatory interest
- Consequences of Brexit
- Market Manipulation and Insider Trading
- International Sanctions
Financial Crime in Global Business, Offshore Jurisdictions, and High-Net-Worth Clientele
- Motivations for targeting International Business, Offshore Centres, and affluent clients
- Primary risks associated with these business activities
Future Outlook
- Current 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.