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Duration 21 hours
Course Outline
Fundamentals of Compliance and Compliance Risk Management
- Grasping Compliance and its associated risks
- Key areas of focus
- Identifying stakeholders for Compliance Officers and Money Laundering Reporting Officers
- Recognizing and mitigating non-compliance risks
Developing and Maintaining a Compliance Risk Management Framework
- Adopting a risk-based management approach
- Evaluating the positive and negative business impacts of a risk-based strategy
Compliance and Corporate Governance
- Defining Corporate Governance
- Exploring the intersection of Corporate Governance and Compliance
- Identifying relevant stakeholders
- Core principles of Corporate Governance
- The role of Management Committees
- Application of Codes and Guidelines
- Preventing Financial Crime through Corporate Governance
Compliance Controls and Monitoring
- Meeting Regulatory Expectations
- Establishing a Compliance Monitoring Program
Additional Financial Crime Considerations
- Re-evaluating Money Laundering and Terrorist Financing
- Fraud prevention
- Data Protection and Information Security
- Handling Personal and Sensitive Data
- Implementing Data Protection Policies
- Bribery and Corruption
- The UK Bribery Act 2010
- The USA Foreign & Corrupt Practices Act
- Other relevant areas of concern
- Consequences of Brexit
- Market Abuse and Insider Trading
- Sanctions compliance
Financial Crime in International Business, Offshore Centers, and with High-Net-Worth Clients
- Reasons why financial criminals target international businesses, offshore centers, and high-net-worth individuals
- Assessing the primary risks involved in these business activities
Future Outlook
- Identifying 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.