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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 risks of non-compliance
Building and Maintaining a Compliance Risk Management Framework
- Adopting a Risk-Management mindset
- The positive and negative business impacts of implementing a Risk-Management approach
Compliance in the Context of Corporate Governance
- Defining Corporate Governance
- The interplay between Governance and Compliance
- Identifying key Stakeholders
- Core Corporate Governance principles
- The role of Management Committees
- Establishing Codes and Guidelines
- Corporate Governance and the prevention of Financial Crime
Compliance Controls and Verification Processes
- Regulatory expectations
- Developing a Compliance Monitoring Program
Additional Financial Crime Considerations
- Money Laundering and Terrorist Financing – a contemporary perspective
- Fraud
- Data Protection and Information Security
- Handling Personal and Sensitive Information
- Data Protection Policies
- Bribery and Corruption
- UK Bribery Act 2010
- USA Foreign & Corrupt Practices Act
- Other relevant areas
- Consequences of Brexit
- Market Abuse and Insider Dealing
- Sanctions
Financial Crime in International Business, Offshore Centres, and High-Net-Worth Clientele
- Why financial criminals target International Business, Offshore Centres, and High-Net-Worth clients
- Major risks associated with operating in these sectors
Looking Ahead
- Current hotspots in Compliance and its Risk Management…
21 Hours
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.