Thank you for sending your enquiry! One of our team members will contact you shortly.
Thank you for sending your booking! One of our team members will contact you shortly.
Duration 21 hours
Course Outline
Foundations of Compliance and Compliance Risk Management
- Exploring Compliance and associated risks
- Identifying critical focus areas
- Understanding stakeholders for Compliance Officers and Money Laundering Reporting Officers
- Mitigating risks related to non-compliance
Developing and Administering a Compliance Risk Management Framework
- Adopting a risk-based management approach
- Assessing the positive and negative business impacts of such an approach
Compliance and Corporate Governance
- Defining Corporate Governance
- Examining its interaction with Compliance
- Identifying key stakeholders
- Core Corporate Governance principles
- The role of Management Committees
- Applicable Codes and Guidelines
- The link between Corporate Governance and Financial Crime Prevention
Compliance Controls and Verification Processes
- Meeting Regulatory expectations
- Designing a Compliance Monitoring Programme
Additional Financial Crime Considerations
- Money Laundering and Terrorist Financing – A New Perspective
- Fraud prevention
- Data Protection and Information Security
- Handling Personal and Sensitive Information
- Implementing Data Protection Policies
- Bribery and Corruption
- UK Bribery Act 2010
- USA Foreign & Corrupt Practices Act
- Other relevant regulatory areas
- Post-Brexit implications
- Market Abuse and Insider Dealing
- Sanctions enforcement
Financial Crime in International Business, Offshore Centers, and High-Net-Worth Client Segments
- Why financial criminals target international businesses, offshore centers, and high-net-worth clients
- Key risks associated with engaging in this business segment
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.