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Duration 21 hours
Course Outline
Fundamentals of Compliance and Compliance Risk Management
- Grasping Compliance and its associated risks
- Key areas of focus
- Identifying stakeholders for Compliance Officers and Money Laundering Reporting Officers
- Recognizing and mitigating non-compliance risks
Developing and Managing a Compliance Risk Management Framework
- Adopting a Risk-Management Approach
- Evaluating the positive and negative business impacts of implementing a Risk-Management Approach
Compliance and Corporate Governance
- Defining Corporate Governance
- Examining its interaction with Compliance
- Identifying key Stakeholders
- Core Corporate Governance principles
- Management Committees
- Codes and Guidelines
- The role of Corporate Governance in preventing Financial Crime
Compliance Controls and Verification
- Regulatory expectations
- Establishing a Compliance Monitoring Programme
Additional Financial Crime Considerations
- Money Laundering and Terrorist Financing – a new perspective
- Fraud
- Data Protection and Information Security
- Personal and Sensitive Information
- Data Protection Policies
- Bribery and Corruption
- UK Bribery Act 2010
- USA Foreign & Corrupt Practices Act
- Other relevant areas
- Implications of Brexit
- Market Abuse and Insider Dealing
- Sanctions
Financial Crime in International Business, Offshore Centres, and High-Net-Worth Client Segments
- Reasons why financial criminals target International Business, Offshore Centres, and High-Net-Worth clients
- Major risks involved in managing this type of business
Future Outlook
- Current hotspots in Compliance and its 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.