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Duration 21 hours
Course Outline
The Essentials of Compliance and Compliance Risk Management
- Comprehending Compliance and its associated risks
- Key areas of focus
- Stakeholders of Compliance Officers and Money Laundering Reporting Officers
- Recognising and reducing the risks of non-compliance
Building and Maintaining a Compliance Risk Management Framework
- Applying a Risk-Management approach
- The business impact of a Risk-Management approach, both positive and negative
Compliance and Corporate Governance
- Defining Corporate Governance
- The interaction between Corporate Governance and Compliance
- Identifying Stakeholders
- Core principles of Corporate Governance
- The role of Management Committees
- Relevant Codes and Guidelines
- The link between Corporate Governance and Financial Crime Prevention
Compliance Controls and Verification Processes
- Regulatory expectations
- Establishing a Compliance Monitoring Programme
Additional Financial Crime Considerations
- Money Laundering and Terrorist Financing – a renewed perspective
- Fraud prevention
- Data Protection and Information Security
- Handling Personal and Sensitive Information
- Developing Data Protection Policies
- Bribery and Corruption
- The UK Bribery Act 2010
- The USA Foreign & Corrupt Practices Act
- Other relevant regulatory areas
- The impact of Brexit
- Market Abuse and Insider Dealing
- Sanctions compliance
Financial Crime in International Business, Offshore Centres, and with High-Net-Worth Clients
- Reasons why financial criminals target International Business, Offshore Centres, and High-Net-Worth clients
- Key risks involved in operating in these sectors
The Future Outlook
- Current and emerging 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.