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In this course, you will learn:
- This course intends to provide learners with a thorough understanding of Important Compliance Functions and Compliance Risks.
- Learners will learn about the numerous sources of compliance risk and how to manage them.
- Learners will obtain a greater understanding of global compliance requirements and how to foster a compliance culture in their firm.
Syllabus :
Module I: Regulation & Supervision
- Banking Regulation
- Different Regulatory Approaches
- Banking Supervision
- Basle Core Principles of Banking Supervision
- Common Global Regulations
- Emerging Supervision & Regulatory Expectations
- Challenges of doing business while meeting regulation
Module II: Compliance Function
- Definition & Scope of Compliance Function
- Compliance Principles- Basel Committee
- Compliance Policy & Manual
- Compliance governance structure
- Role of Compliance Function
- Compliance Testing
- Compliance Monitoring /Compliance Reporting
- Intersection between Compliance & Risk Management
- Emerging Trends & Future Outlook
Module III: Compliance in Corporate Governance & Risk Management
- Understanding Corporate Governance
- Why Corporate Governance
- Principles of Corp Governance
- Board of Directors & Committees of the Board.
- Senior Management
- Risk Management & Internal Controls
- Compensation
- Disclosure & Transparency
Module IV: Financial Crime Risk and Compliance
- Understanding Financial Crime
- Concept of Money Laundering & Terrorist Financing
- Predicate Offences & Role of Financial Service Firms in Financial Crime
- Regulatory Landscape
- Inhibiting Financial Crime through AML KYC Compliance
- Fraud & Cybersecurity
- STR/ SAR reporting to FIU
Module V Compliance Risk & Compliance Culture ****
- Understanding Compliance Risk
- Implications of Compliance Risk: Regulatory Penalties, Reputational Damage, Business Continuity, Frauds
- Contributing factors to compliance Risk
- Three Lines of Defence
- Creating compliance culture
- Setting the Tone at Top
Module VI: Ethics in Compliance
- Understanding Ethics
- Why Ethics
- Relationship between Ethical Principles and Regulations, Professional Codes & Internal Code of Conduct
- Ethical Behaviour & Rule Based Compliance
- Ethical Decision-Making Guide
- Market Integrity: Implications of false and misleading statements, behaviours and practices
- Fair Conduct: Honesty & Fair Treatment, Acting in Best Interest
- ESG Initiatives
