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Duration 21 hours
Course Outline
Fundamentals of Compliance and Compliance Risk Management
- Grasping Compliance and the risks it entails
- Key areas of focus
- Stakeholders of Compliance Officers and Money Laundering Reporting Officers
- Mitigating the consequences of non-compliance
Establishing and Overseeing a Compliance Risk Management Framework
- Adopting a Risk-Management perspective
- The dual impact on business – both positive and negative – of implementing a Risk-Management strategy
Compliance and Corporate Governance
- Defining Corporate Governance
- The intersection of Corporate Governance and Compliance
- Identifying key Stakeholders
- Core principles of Corporate Governance
- Roles of Management Committees
- Relevant Codes and Guidelines
- The role of Corporate Governance in preventing Financial Crime
Compliance Controls and Verification Processes
- Regulatory expectations
- Developing a Compliance Monitoring Program
Additional Financial Crime Concerns
- Money Laundering and Terrorist Financing – A contemporary perspective
- Fraud prevention
- Data Protection and Information Security
- Handling Personal and Sensitive Data
- Data Protection Policies
- Bribery and Corruption
- UK Bribery Act 2010
- USA Foreign & Corrupt Practices Act
- Other relevant considerations
- Consequences of Brexit
- Market Abuse and Insider Trading
- Sanctions compliance
Financial Crime in International Business, Offshore Centers, and High-Net-Worth Client Services
- Motivations behind financial criminals targeting International Business, Offshore Centers, and High-Net-Worth clients
- Primary risks associated with engaging in these sectors
Looking Ahead
- 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.