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Course Outline
Compliance Fundamentals and Risk Oversight
- Exploring Compliance and its associated risks
- Identifying key focus areas
- Defining the stakeholders of Compliance Officers and Money Laundering Reporting Officers
- Mitigating the consequences of non-compliance
Establishing and Maintaining a Compliance Risk Framework
- Adopting a Risk-Management strategy
- Evaluating the positive and negative business impacts of a Risk-Management approach
Compliance and Corporate Governance
- Defining Corporate Governance
- Examining its interaction with Compliance
- Identifying relevant stakeholders
- Core Corporate Governance principles
- The role of Management Committees
- Adherence to Codes and Guidelines
- The link between Corporate Governance and Financial Crime Prevention
Compliance Monitoring and Controls
- Understanding regulatory expectations
- Designing a Compliance Monitoring Programme
Additional Financial Crime Considerations
- Money Laundering and Terrorist Financing – a contemporary perspective
- Fraud
- Data Protection and Information Security
- Handling Personal and Sensitive Information
- Implementing Data Protection Policies
- Bribery and Corruption
- The UK Bribery Act 2010
- The USA Foreign & Corrupt Practices Act
- Other relevant regulatory areas
- The impact of Brexit
- Market Abuse and Insider Dealing
- Sanctions
Financial Crime in International Operations, Offshore Centres and with High-Net-Worth Clients
- Reasons why financial criminals target international business, offshore hubs, and high-net-worth individuals
- Key risks involved in conducting such business
Future Outlook
- Current hotspots in Compliance and 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.