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Course Outline
Foundations of Compliance & Compliance Risk Management
- Gaining a clear view of Compliance and its associated risks
- Key focus areas
- Stakeholders for Compliance Officers & Money Laundering Reporting Officers
- Identifying and mitigating non-compliance risks
Establishing & Maintaining a Compliance Risk Management Framework
- Adopting a Risk-Management mindset
- Assessing the positive and negative business impacts of implementing a Risk-Management approach
Compliance & Corporate Governance
- Defining Corporate Governance
- The interplay between Governance and Compliance
- Key Stakeholders
- Core Corporate Governance principles
- The role of Management Committees
- Relevant Codes & Guidelines
- Linking Corporate Governance to Financial Crime Prevention
Compliance Controls & Oversight Mechanisms
- Aligning with Regulator expectations
- Developing a Compliance Monitoring Programme
Additional Financial Crime Considerations
- A fresh perspective on Money Laundering & Terrorist Financing
- Fraud prevention
- Data Protection & Information Security
- Handling Personal & Sensitive Information
- Implementing Data Protection Policies
- Bribery & Corruption
- UK Bribery Act 2010
- USA Foreign & Corrupt Practices Act
- Other relevant regulatory areas
- Post-Brexit implications
- Preventing Market Abuse & Insider Dealing
- Sanctions compliance
Financial Crime in International Business, Offshore Hubs & High-Net-Worth Client Relationships
- Why Financial Criminals target International Business, Offshore Hubs & High-Net-Worth clients
- Key risks associated with managing these business lines
Looking Ahead
- Current hotspots in Compliance & its 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.