From 02 Mar 2020 to 04 Mar 2020    Retail Banking - New Distribution Channels & E-Banking    in Tirana / Albania

Certification Programme: Compliance Advanced Level

In cooperation with the House of Training Quality Circle in Compliance and ALCO

Objective

Compliance is a statutory component of good corporate governance. In Financial Institutions (FI), the Compliance function is a mandatory internal control function, besides Risk Management and Internal Audit.

The role of compliance is to protect the bank against reputational, legal or sanctions’ risks.

At the end of this seminar, the participants will be able to

  • master all technical and practical aspects of a Compliance Officer’s function, as well as the decisions to be taken on regular basis on a risk based approach
  • understand the international regulatory framework, focusing on case studies

Target Group

Senior Compliance Officers with at least minimum 2 years of experience willing to improve their knowledge of managing the Compliance Officer function.

This programme will be of particular interest also for the successful participants of the Certification Programme: Compliance Foundation Level run by the House of Training - ATTF in both 2016 and 2017.

Location & duration

in Luxembourg: 5 seminar days, case study included

 

Detailed programme Explode

Session 1 – Program Introduction

  • Presentation of the objectives and the organization
  • Overview of the main points covered on the compliance fundamentals and implementation of the regulatory framework
  • Introduction to the case study
  • Team building

Session 2 – How to design a compliance program on a risk based approach

  • Definition of Risk Based Approach, components, legal standards versus market practises (challenge your current standards…)
  • Team work

Session 3 – Focus on a tailored Compliance risk assessment (Part 1 –Methodology & design)

  • Self-Assessment
  • Client Assessment
  • Product Assessment
  • Country Risk Assessment
  • Distribution network and third parties assessment

Session 4 – Focus on a tailored Compliance risk assessment (Part 2 – Content)

  • Team work

Session 5 - How to ensure an efficient written presentation of a compliance program to a Board? (Part 1 – Methodology & design)

  • Presentation of issues
  • Powerpoint presentation skills

Session 6 - How to ensure an efficient written presentation of a compliance program to a Board? (Part 2 – Content)

  • Team work

Session 7 - How to ensure an efficient oral presentation of a compliance program to a Board?

  • Play of roles

TEAM WORK

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Testimonial

Orkhan Tukanov - Azerbaijan
Bank Avrasiya

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Credit Analysis & Management Training
2018-02-27 / Baku

It was an excellent seminar. We worked together as a team and the expert helped us with great pleasure.

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