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Course Outline
Foundations of Compliance and Risk Management
- Grasping Compliance and its associated risks
- Identifying priority areas
- Defining stakeholders for Compliance Officers and Money Laundering Reporting Officers
- Recognizing and mitigating non-compliance risks
Building and Maintaining a Compliance Risk Framework
- Adopting a Risk-Management methodology
- Assessing the positive and negative business impacts of this approach
Compliance and Corporate Governance
- Defining Corporate Governance
- Examining its relationship with Compliance
- Identifying key stakeholders
- Core principles of Corporate Governance
- The role of Management Committees
- Establishing Codes and Guidelines
- The intersection of Corporate Governance and Financial Crime Prevention
Compliance Controls and Monitoring
- Understanding regulatory expectations
- Developing a Compliance Monitoring Programme
Additional Financial Crime Perspectives
- Money Laundering and Terrorist Financing – a new perspective
- Fraud prevention
- Data Protection and Information Security
- Handling Personal and Sensitive Information
- Implementing Data Protection Policies
- Bribery and Corruption
- The UK Bribery Act 2010
- The USA Foreign & Corrupt Practices Act
- Other relevant regulatory areas
- Consequences of Brexit
- Market Abuse and Insider Dealing
- Sanctions compliance
Financial Crime in Global Business, Offshore Hubs, and HNW Clientele
- Why financial criminals target international business, offshore centers, and high-net-worth clients
- Identifying primary risks in these sectors
Future Outlook
- Identifying current 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.