Description
This course is designed to give senior management in Private Banks and Securities Firms a thorough understanding of the financial crime legal and regulatory environment and practice, including use of technology, as it applies to their business. It will specifically cover their governance and management responsibilities with regards to ensuring regulatory compliance. The course will proceed on a case-study basis to simply the messages and make the presentation interesting. These case studies cover money laundering predicate offences and also oversight weaknesses. Future risks are also highlighted.
Business ultimately owns client-risk and compliance have an advisory role. In this context, this practical workshop will help senior management hone their skills to both understand their own role better and help them fine tune their public messaging around financial crime. Both support and tone at the top are key to the success of any financial crime program. This workshop will help senior management to zoom in on the potential issues needing their attention and leadership.
What you will learn
- Develop a holistic picture of the legal and regulatory ramifications of non-compliance both for the bank and for themselves
- Understand regulatory expectations from their role so as to take more ownership and help facilitate change including through stronger messaging
- Help to focus on potential issues in their organization and facilitate the change needed
- Specifically to enhance the KYC and transactions monitoring/reporting processes through the adoption of specific tools and approaches.
+ 44 (0)20 7779 8543
Email
