The Compliance and MLRO Refresher Programme Training Course

Primary tabs

Course Language

This course is delivered in Polish or English.

Course Code

compmlro

Duration Duration

7 hours (usually 1 day including breaks)

Overview Overview

The Compliance and MLRO Refresher Programme examines the key risk management issues and topics that are of vital importance in today’s highly-regulated environment. As well as being targeted at Compliance Officers, MLROs, MLCOs and other risk management professionals it is also aimed at members of senior management and board members keen to know more about what to expect from the risk control functions within their organisations. The Programme is lectured by subject-matter-expert from the UK.

The key learning objective of the Programme is to equip attendees with sufficient knowledge to assess objectively the adequacy of their organisation’s existing risk management controls and practices and to make appropriate enhancements.

Course Outline Course Outline

Identifying and Evaluating Key Risks

  • Analysing the role of the Compliance Officer, the MLRO, the MLCO, Internal Audit and the Board
  • What makes an effective Compliance Officer?
  • Accountability of the Compliance Officer
  • Interdependencies with other control functions
  • Primary, secondary and on-demand compliance
  • The Compliance Officer’s Activities – and the support required

Designing and Implementing an Effective Compliance Framework including a Monitoring Programme

  • Analysing legal and regulatory rules
  • Identifying risks
  • Designing control and procedures
  • Generating management information
  • Creating an effective compliance culture
  • Monitoring

Compliance and Corporate Governance

  • Concepts in Corporate Governance and how these help manage risk
  • Whistle blowing
  • Role of the director
  • Creating an effective board
  • Differentiating the roles of the executive and non executive director
  • Creating and effectively utilising Corporate Governance committees e.g. Audit, Remuneration
  • Financial reporting and Corporate Governance
  • The Turnbull Report and effective risk management

The Latest Local and International Regulatory Issues Surrounding Compliance and Financial Crime Prevention

  • Issues in Compliance
  • Issues in Anti-Money Laundering (AML) and Combating Terrorist Financing (CTF)
  • Issues in Fraud
  • Issues in Identity Theft
  • Issues in Phishing

Managing the Risk of Money Laundering

  • Offshore Issues, PEPs and EPs
  • Know Your Client (KYC) and Identification & Verification (ID&V)
  • A Risk-Management Approach
  • Case studies

Other Regulatory Risks

  • Information Security and Data Protection
  • Market Abuse and Insider Dealing
  • Bribery and Corruption
  • Sanctions
  • …and other types and Risks in on-shore and off-shore Banking

Human Factors in Risk Management

  • Understanding the importance of human error in procedures-driven environments
  • Common human factor problems
    • Steep authority gradients
    • Reliance vacuums
    • Dominant individuals
  • Identifying and addressing human factor issues
  • Developing an effective compliance culture

Criminal Abuse of Private Banking Services, Trusts and Corporate Services companies

  • Offshore companies and corporate services analysed
  • Offshore trusts and trustee services analysed
  • The criticality of fiduciary duty
  • Understanding commercial rationale
  • AML trust and company vulnerabilities
  • Examples of abuse
  • Case studies

Guaranteed to run even with a single delegate!
Public Classroom Public Classroom
Participants from multiple organisations. Topics usually cannot be customised
From 1879PLN
(92)
Private Classroom Private Classroom
Participants are from one organisation only. No external participants are allowed. Usually customised to a specific group, course topics are agreed between the client and the trainer.
From 1879PLN
Request quote
Private Remote Private Remote
The instructor and the participants are in two different physical locations and communicate via the Internet
From 5540PLN
Request quote
SelfStudy SelfStudy
Self-study courses allow you to learn at your own pace on your own time. There is no live instructor involved. The participants use recorded video, quizzes and reading at their own convenience.
Price not set yet
Register Interest

The more delegates, the greater the savings per delegate. Table reflects price per delegate and is used for illustration purposes only, actual prices may differ.

Number of Delegates Public Classroom Private Classroom Private Remote
1 1879PLN 1879PLN 5540PLN
2 2135PLN 2035PLN 3865PLN
3 2220PLN 2086PLN 3307PLN
4 2262PLN 2112PLN 3028PLN
Cannot find a suitable date? Choose Your Course Date >>
Too expensive? Suggest your price

Related Categories


Course Discounts

Course Venue Course Date Course Price [Remote/Classroom]
Programming in C# 5.0 with Visual Studio 2012 Poznan, Garbary Mon, 2016-05-30 09:00 2685PLN / 1822PLN
Introduction to Machine Learning Wrocław, ul.Ludwika Rydygiera 2a/22 Mon, 2016-05-30 09:00 2730PLN / 1940PLN
Adobe Captivate Kielce Tue, 2016-05-31 09:00 1318PLN / 1127PLN
Excel and VBA Programming for Audit and Finance Professionals Szczecin Tue, 2016-05-31 09:00 1913PLN / 1513PLN
Programming in WPF 4.5 Warszawa, ul. Złota 3/11 Tue, 2016-05-31 09:00 2359PLN / 1355PLN
SQL Fundamentals Warszawa, ul. Złota 3/11 Wed, 2016-06-01 09:00 1358PLN / 853PLN
MS Excel - poziom średniozaawansowany Łódź, ul. Tatrzańska 11 Wed, 2016-06-01 09:00 1044PLN / 840PLN
SQL language in MSSQL Toruń, ul. Żeglarska 10/14 Wed, 2016-06-01 09:00 1568PLN / 1198PLN
Bezpieczeństwo aplikacji internetowych Katowice Wed, 2016-06-01 09:30 3606PLN / 2531PLN
Test Automation with Selenium Kraków Mon, 2016-06-06 09:00 3200PLN / 2433PLN
Test Automation with Selenium Katowice Tue, 2016-06-07 09:30 3431PLN / 2469PLN
MS Excel - poziom średniozaawansowany Katowice Wed, 2016-06-08 09:00 700PLN / 771PLN
Programming in C++ Olsztyn, ul. Kajki 3/1 Mon, 2016-06-13 09:00 2936PLN / 2395PLN
Container management with Docker Trójmiasto Tue, 2016-06-14 09:00 4360PLN / 2774PLN
Excel Advanced Katowice Mon, 2016-06-20 09:00 775PLN / 933PLN
Test Automation with Selenium Warszawa, ul. Złota 3/11 Mon, 2016-06-20 09:00 3431PLN / 2327PLN
PostgreSQL Administration Lublin Mon, 2016-06-20 09:30 4025PLN / 3134PLN
Introduction to R Warszawa, ul. Złota 3/11 Tue, 2016-06-21 09:00 3058PLN / 2123PLN
Creating and managing Web sites Wrocław, ul.Ludwika Rydygiera 2a/22 Mon, 2016-06-27 09:00 3410PLN / 2555PLN
Programming in C Gdynia Mon, 2016-06-27 09:00 1590PLN / 1143PLN
Distributed Messaging with Apache Kafka Katowice Mon, 2016-06-27 09:30 4998PLN / 3288PLN
Design Patterns in C# Wrocław, ul.Ludwika Rydygiera 2a/22 Wed, 2016-06-29 09:00 1865PLN / 1392PLN
Visual Basic for Applications (VBA) for Analysts Poznan, Garbary Mon, 2016-07-04 09:00 1912PLN / 1278PLN
Debian Administration Poznan, Garbary Mon, 2016-07-04 09:00 3157PLN / 2083PLN
A Practical Guide to Successful Pricing Strategies Poznan, Garbary Wed, 2016-07-06 09:00 1427PLN / 1093PLN
Excel and VBA Programming for Audit and Finance Professionals Warszawa, ul. Złota 3/11 Mon, 2016-07-11 09:00 1913PLN / 1441PLN
Machine Learning Fundamentals with R Warszawa, ul. Złota 3/11 Mon, 2016-07-18 09:00 2523PLN / 1828PLN
Building Web Apps using the MEAN stack Szczecin Mon, 2016-07-18 09:00 5538PLN / 3351PLN
Microsoft Access - download the data Poznan, Garbary Wed, 2016-07-20 09:00 1117PLN / 856PLN
Python Programming Warszawa, ul. Złota 3/11 Mon, 2016-08-01 09:00 5790PLN / 3753PLN
Programming in WPF 4.5 Warszawa, ul. Złota 3/11 Mon, 2016-09-05 09:00 2359PLN / 1355PLN
BPMN 2.0 for Business Analysts Wrocław, ul.Ludwika Rydygiera 2a/22 Tue, 2016-09-27 09:00 3110PLN / 2337PLN

Upcoming Courses

VenueCourse DateCourse Price [Remote/Classroom]
Poznan, GarbaryFri, 2016-06-10 09:003028PLN / 2145PLN
Białystok, ul. Malmeda 1Wed, 2016-06-15 09:003028PLN / 2185PLN
Bydgoszcz, ul. Dworcowa 94Wed, 2016-06-15 09:003028PLN / 2170PLN
Wrocław, ul.Ludwika Rydygiera 2a/22Thu, 2016-06-16 09:003028PLN / 2145PLN
KrakówThu, 2016-06-16 09:003028PLN / 2227PLN

Some of our clients