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Duration 21 hours
Course Outline
Foundations of Compliance and Managing Compliance Risk
- Grasping Compliance and the associated risks
- Key areas of focus
- Stakeholders of Compliance Officers and Money Laundering Reporting Officers
- Mitigating and understanding the risks of non-compliance
Building and Maintaining a Compliance Risk Management Framework
- Comprehending the Risk-Management approach
- The positive and negative business impacts of implementing a Risk-Management approach
Compliance and Corporate Governance
- Defining Corporate Governance
- The intersection of Corporate Governance and Compliance
- Key stakeholders
- Principles of Corporate Governance
- Management Committees
- Codes and Guidelines
- Corporate Governance and the prevention of Financial Crime
Compliance Controls and Audits
- Regulatory expectations
- Establishing a Compliance Monitoring Program
Additional Financial Crime Considerations
- Money Laundering and Terrorist Financing – A new perspective
- 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
- The impact of Brexit
- Market Abuse and Insider Dealing
- Sanctions
Financial Crime in International Business, Offshore Centers, and High-Net-Worth Clients
- Reasons why financial criminals target International Business, Offshore Centers, and High-Net-Worth clients
- Major risks involved in conducting such business
Future Outlook
- Current hotspots in Compliance and 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.