Program Brief
ICA\ TFA Advanced Certification in Regulatory and Financial Crime Compliance has been developed in line with international standards of competency covering both knowledge and abilities for those working in compliance in the financial services sector. Through the combination of self-study and classroom classes in this blended learning program, several topics will be addressed, the most important of which is how to conduct a robust assessment on regulatory and financial crime compliance, in addition to managing risks efficiently and effectively.
Sectors
Program Topic
- Compliance and Anti-Financial Crimes
Program Goals
At the end of the training program, the participant should be able to:
- Discover the fundamentals of regulatory compliance and why it is a real benefit, both to him, his organization and industry.
- Full understanding of the role of good compliance management in protecting the organization, as well as enhances its competitive advantage, including how to maximize the use of new technology.
- Gaining specialist knowledge and practical skills to manage regulatory risk both now and in the future, especially as the world of compliance changes at an ever-increasing pace.
Jadarat
Program Agenda
Module 1: The Dynamic Regulatory Environment
1 Regulation, interpreting and understanding regulatory instruments
2 Analysis of case studies
3 Examples of enforcement action
4 The impact of the regulatory landscape
5 Applying a guidance framework
6 Legal and compliance analysis in providing compliance advisory guidance
7 Analysis of global industry best practices including standards.
8 A look ahead for RC and FCC, future challenges, future approach
9 Where to begin with an RC
Module 2: Good Corporate Governance
1 Background and key concepts of corporate governance
2 key provisions, policies, and operational plan for robust governance
3 Impact of poor governance: through shared case studies, culture, ethics, tone at the top, values, and code of conduct, installing a compliance mindset
Module 3: Effective Compliance Management
1 Knowledge and understanding surrounding the proactive role of the successful compliance officer
2 The component parts of the role, covering monitoring and surveillance as well as advisory
3 Effective stakeholder management throughout the organization: how to solicit input, consult, advise, and give impactful guidance
Module 4: Impactful Risk Management
1 Key elements of risk frameworks
2 Establish a functional and business sensible compliance program
3 Practiced global compliance standards
4 Policy creation, implementation, revision, and continuous improvement
5 Effective and functional risk management framework
6 A look at the risk cycle including risk treatments
7 Internal and external risk drivers
8 Effective risk management implementation and evaluation
9 Role and purpose of the compliance function in managing compliance risk and the specific role of money laundering reporting officer
10 Risk and compliance reporting requirements and escalation procedures
Immersive Scenario and Revision Session
Module 5: Managing Financial Crime Risk
1 Cover prevention, detection and mitigating financial crime risk through the customer lifecycle.
2 Consideration of money laundering, fraud, bribery, and corruption, know your customer.
3 Customer lifecycle governance frameworks and reporting requirements of how to combat fraud, bribery, and corruptions
Immersive Scenario and Revision Session
Program Requirements
Certified Compliance Officer Certificate CCO or 6 years of experience
in AML or compliance role.
Program Path
Names of the training programs that are integrated (enriched) with the training program:
- Not Available
Names of the training programs that after the training program:
- Not Available
Program Method
- Lecture
- Case Studies
- Exercises and assignments
Evaluation Method
- Other
Training Type
- In Class Training
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