TWELVE Regulatory Compliance and Governance Course
Introducing a new 19 module short course focussing on Regulatory Compliance and Governance in Financial Crime.
TWELVE Regulatory Compliance and Governance Course
COURSE DESCRIPTION
Regulatory Compliance considers the laws, regulations and rules that make up an effective compliance program and establishes the framework for financial crime investigations. Similarly, Governance sets out how compliance and risk are managed within both the compliance program and the organisation as a whole.
This course will address the key considerations in Regulatory Compliance and Governance, providing the financial crime professional with a strong understanding of the concepts of each and the key elements of an effective compliance program.
Upon successful completion of the course, you will receive a certificate of completion and digital badge. Earn 20 CE credits.
LEARNING OUTCOMES
You will gain a detailed awareness and understanding of Regulatory Compliance and Governance, including
Know your Customer (KYC) and Customer Due Diligence (CDD)
Politicall Exposed Persons (PEPs)
The Three Lines of Defence
Compliance Reviews and Training,
The roles of International Bodies and the Regulator,
Each module will be assessed via a multiple choice quiz
TARGET AUDIENCE
Compliance officers
AML Investigators / Analysts
Fraud Investigators / Analysts
Those looking to enter the Compliance/ Financial Crime field
The course is designed for working professionals and takes into account work commitments
DELIVERY AND ASSESSMENT
20 modules
Recorded presentations
The course is assessed via a multiple choice exam
Course Outline
Module 1: Money Laundering and Terrorist Financing
Module 2: Anti-Money Laundering (AML) and Anti- Terrorist Financing (ATF)
Module 3: AML / KYC Governance Structure
Module 4: Chief Compliance Officer (CCO)
Module 5: Customer Due Diligence (CDD) and Know Your Customer (KYC)
Module 6: Transaction Monitoring and Investigation
Module 7: PEPs and Enhanced Due Diligence (EDD) Measures
Module 8: Suspicious Activity Report (SAR) / Suspicious Transaction Report (STR)
Module 9: Compliance Reviews and Training
Module 10: Records and Documentation
Module 11: International Bodies Governing AML Regime
Module 12: National Legal and Regulatory CDD/KYC Frameworks
Module 13: Role and Supervision by Regulator
Module 14: Three Lines of Defense
Module 15: Board of Directors Governance
Module 16: Board Compliance Committee (BCC)
Module 17: Compliance Function
Module 18: Role of Internal Audit
Module 19: Periodic Board Reporting
The Investment
CAD $200
Upon successful completion of the course, you will receive a certificate of completion and digital badge. Earn 20 CE credits.