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Duration 21 hours
Course Outline
Foundations of Compliance and Risk Management
- Grasping Compliance and its associated risks
- Key focus areas
- Stakeholders of Compliance Officers and Money Laundering Reporting Officers
- Mitigating and understanding non-compliance risks
Establishing and Overseeing a Compliance Risk Management Framework
- Adopting a Risk-Management strategy
- The positive and negative business impacts of implementing a Risk-Management strategy
Compliance and Corporate Governance
- The definition of Corporate Governance
- The intersection of Corporate Governance and Compliance
- Identifying Stakeholders
- Principles of Corporate Governance
- Management Committees
- Relevant Codes and Guidelines
- The role of Corporate Governance in preventing Financial Crime
Compliance Controls and Monitoring
- Regulatory expectations
- Developing a 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
- Formulating Data Protection Policies
- Bribery and Corruption
- The UK Bribery Act 2010
- The USA Foreign & Corrupt Practices Act
- Other relevant considerations
- The effects of Brexit
- Market Abuse and Insider Dealing
- Sanctions compliance
Financial Crime in International Business, Offshore Hubs, and High-Net-Worth Client Services
- Why financial criminals target international business, offshore centers, and high-net-worth clients
- Major risks involved in conducting such business activities
Future Perspectives
- Current hotspots in Compliance and its 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.