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Course Outline
Foundations of Compliance and Risk Management
- Navigating Compliance and its associated risks
- Key areas of focus
- Stakeholder identification for Compliance Officers and Money Laundering Reporting Officers
- Recognising and mitigating the risks of non-compliance
Establishing and Managing a Compliance Risk Framework
- Adopting a risk-management approach
- Assessing the positive and negative business impacts of implementing such an approach
Compliance and Corporate Governance
- Defining Corporate Governance
- The intersection of governance and Compliance
- Identifying key stakeholders
- Core principles of Corporate Governance
- The role of Management Committees
- Relevant Codes and Guidelines
- Linking Corporate Governance to Financial Crime Prevention
Compliance Controls and Oversight
- Understanding regulatory expectations
- Developing a Compliance Monitoring Programme
Additional Financial Crime Considerations
- A fresh perspective on Money Laundering and Terrorist Financing
- Fraud
- 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 considerations
- Implications of Brexit
- Market Abuse and Insider Dealing
- Sanctions
Financial Crime in International Business, Offshore Centres and High-Net-Worth Clients
- Motivations for targeting international businesses, offshore centres, and high-net-worth clients
- Identifying major risks associated with these operations
Future Outlook
- 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.