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Course Outline

Fundamentals of Compliance and Risk Oversight

  • Grasping Compliance and its associated risks
    • Key areas of focus
    • Stakeholders for Compliance Officers and Money Laundering Reporting Officers
    • Recognising and mitigating non-compliance risks

Building and Administering a Compliance Risk Management Framework

  • Adopting a risk-based approach to management
  • Assessing the positive and negative business impacts of implementing such an approach

Compliance in the Context of Corporate Governance

  • Defining Corporate Governance
  • Exploring the intersection of Governance and Compliance
  • Identifying relevant stakeholders
  • Core principles of Corporate Governance
  • The role of Management Committees
  • Relevant Codes and Guidelines
  • Linking Corporate Governance with the prevention of Financial Crime

Compliance Monitoring and Verification

  • Understanding regulatory expectations
  • Developing a comprehensive Compliance Monitoring Programme

Additional Financial Crime Considerations

  • A renewed perspective on Money Laundering and Terrorist Financing
  • Fraud prevention
  • Data Protection and Information Security
    • Handling Personal and Sensitive Information
    • Developing Data Protection Policies
  • Bribery and Corruption
    • UK Bribery Act 2010
    • USA Foreign & Corrupt Practices Act
    • Other relevant regulatory areas
  • Consequences of Brexit
  • Market Abuse and Insider Dealing
  • Compliance with Sanctions

Financial Crime in International Business, Offshore Centres, and High-Net-Worth Client Relationships

  • Why Financial Criminals target International Business, Offshore Centres, and High-Net-Worth clients
  • Identifying the primary risks involved in managing these client relationships

Looking Ahead

  • Current and emerging hotspots in Compliance and Risk Management
 21 Hours

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Provisional Upcoming Courses (Require 5+ participants)

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