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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
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.