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Course Outline
Foundations of Compliance and Risk Control
- Navigating Compliance and its inherent risks
- Identifying critical areas of focus
- Determining the stakeholders of Compliance Officers and Money Laundering Reporting Officers
- Mitigating risks arising from non-compliance
Developing and Overseeing a Compliance Risk Framework
- Adopting a Risk-Management methodology
- Evaluating the positive and negative business impacts of implementing a Risk-Management approach
Compliance within Corporate Governance
- Defining Corporate Governance
- Examining its relationship with Compliance
- Identifying key Stakeholders
- Core principles of Corporate Governance
- The role of Management Committees
- Relevant Codes and Guidelines
- The intersection of Corporate Governance and Financial Crime Prevention
Compliance Monitoring and Verification
- Understanding Regulatory expectations
- Establishing a Compliance Monitoring Programme
Additional Financial Crime Considerations
- Money Laundering and Terrorist Financing – a contemporary perspective
- Fraud prevention
- Data Protection and Information Security
- Handling Personal and Sensitive Information
- 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
- Sanctions compliance
Financial Crime in International Markets, Offshore Hubs, and High-Net-Worth Relationships
- Reasons why financial criminals target International Business, Offshore Centres, and High-Net-Worth clients
- Key risks associated with conducting business in these sectors
Future Perspectives
- Current hotspots in Compliance and 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.