Oversikt

Compliance- og MLRO Refresher-programmet undersøker de viktigste problemstillingene for risikostyring og temaer som er av vital betydning i dagens sterkt regulerte miljø. I tillegg til å være målrettet mot Compliance Officers, MLROs, MLCOs og andre fagfolk innen risikostyring, er det også rettet mot medlemmer av toppledelsen og styremedlemmer som er opptatt av å vite mer om hva de kan forvente av risikokontrollfunksjonene i organisasjonene. Programmet foreleses av emne-ekspert fra Storbritannia.

Det viktigste læringsmålet med programmet er å utstyre deltakerne med tilstrekkelig kunnskap til å objektivt vurdere hensiktsmessigheten av organisasjonens eksisterende risikostyringskontroller og -praksis og å gjøre passende forbedringer.

Machine Translated

Kursplan

Identifying and Evaluating Key Risks

Analysing the role of the Compliance Officer, the MLRO, the MLCO, Internal Audit and the Board
What makes an effective Compliance Officer?
Accountability of the Compliance Officer
Interdependencies with other control functions
Primary, secondary and on-demand compliance
The Compliance Officer’s Activities – and the support required

Designing and Implementing an Effective Compliance Framework including a Monitoring Programme

Analysing legal and regulatory rules
Identifying risks
Designing control and procedures
Generating management information
Creating an effective compliance culture
Monitoring

Compliance and Corporate Governance

Concepts in Corporate Governance and how these help manage risk
Whistle blowing
Role of the director
Creating an effective board
Differentiating the roles of the executive and non executive director
Creating and effectively utilising Corporate Governance committees e.g. Audit, Remuneration
Financial reporting and Corporate Governance
The Turnbull Report and effective risk management

The Latest Local and International Regulatory Issues Surrounding Compliance and Financial Crime Prevention

Issues in Compliance
Issues in Anti-Money Laundering (AML) and Combating Terrorist Financing (CTF)
Issues in Fraud
Issues in Identity Theft
Issues in Phishing

Managing the Risk of Money Laundering

Offshore Issues, PEPs and EPs
Know Your Client (KYC) and Identification & Verification (ID&V)
A Risk-Management Approach
Case studies

Other Regulatory Risks

Information Security and Data Protection
Market Abuse and Insider Dealing
Bribery and Corruption
Sanctions
…and other types and Risks in on-shore and off-shore Banking

Human Factors in Risk Management

Understanding the importance of human error in procedures-driven environments
Common human factor problems
- Steep authority gradients
- Reliance vacuums
- Dominant individuals
Identifying and addressing human factor issues
Developing an effective compliance culture