Compliance and the Management of Compliance Risk Training Course

Course Code

mancomprisk

Duration

21 hours (usually 3 days including breaks)

Overview

Audiance

All staff who need a working knowledge of Compliance and the Management of Risk

Format of the course

A combination of:

  • Facilitated Discussions
  • Slide Presentations
  • Case Studies
  • Examples

Course Objectives

By the end of this course, delegates will be able to:

  • Understand the major facets of Compliance and the national and international efforts being made to manage the risk related to it
  • Define the ways in which a company and its staff might set up a Compliance Risk Management Framework
  • Detail the roles of Compliance Officer and Money Laundering Reporting Officer and how they should be integrated into a business
  • Understand some other “hot spots” in Financial Crime – especially as they relate to International Business, Offshore Centres and High-Net-Worth Clients

Course Outline

The basics of Compliance and the Management of Compliance Risk

  • Understanding Compliance and the Risk associated with it
    • What are important areas in 2012?
    • Who are the Compliance Officers’ and Money Laundering Reporting Officers’ Stakeholders?
    • Understanding and mitigating the risks of non-compliance

Creating and Managing a Compliance Risk Management Framework

  • Understanding a Risk-Management Approach
  • The impact on the business – positively and negatively – of creating a Risk-Management Approach

Compliance and Corporate Governance

  • What is Corporate Governance?
  • How does it interact with Compliance?
  • Who are the Stakeholders?
  • Corporate Governance principles
  • Management Committees
  • Codes and Guidelines
  • Corporate Governance and Financial Crime Prevention

Compliance Controls and Checks

  • What do the Regulators expect?
  • Creating a Compliance Monitoring Programme

Other Financial Crime considerations

  • Money Laundering and Terrorist Financing – a fresh look
  • 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 areas for consideration
  • Market Abuse and Insider Dealing
  • Sanctions

Financial Crime in International Business, in Offshore Centres and with High-Net-Worth Clients

  • Why do financial criminals target International Business, Offshore Centres and High-Net-
  • Worth clients?
  • What are the major risks in undertaking this business?

The Future

  • Where are today’s Compliance and its Risk Management hotspots…?

Testimonials

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