Compliance Risk Fundamentals
| Duration: | 10 months x 2 hours |
| Level: | Introductory / Intermediate |
| Suitable for: | As well as being targeted at Compliance Officers, MLROs, MLCOs and other risk management professionals, this programme 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. |
| CPD Hours: | 20 |
| Cost: | £795.00 |
| Dates: | Thu 08 Mar 2012 Book Now »
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Programme content
Seminar 1: The Regulatory Environment
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Date: 8th March 2012
Why financial services are regulated
The consequences of regulatory failure
The principles of regulation
Relevant laws/regulations and codes
Regulatory agencies
Seminar 2: The Jersey Financial Services Commission
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Date: 5th April 2012
Statutory basis
Statutory objectives
Structure
Functions
Powers
Seminar 3: Defining Compliance Risk
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Date: 8th May 2012
How compliance risk differs from other risk types:
- operational risk
- credit risk
- financial crime risk
Examples of failure to manage compliance risk
Seminar 4: The Role Of The Compliance Function – Part 1
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Date: 14th June 2012
Key external relationships
Relationships with other internal risk management functions
Relationship with business units
Relationship with the board
Seminar 5: The Role Of The Compliance Function – Part 2
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Date: 5th July 2012
Influencing philosophy
Helping to shape policy
Designing procedures
Encouraging compliance with procedures in practice
Monitoring
Reporting
Seminar 6: The Link Between Compliance And Effective Corporate Governance
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Date: 26th July 2012
What is corporate governance?
The JFSC’s expectations of good governance
Why compliance is fundamental to good governance
What a good governance regime looks like
Examples of failure
Seminar 7: Preparing For And Managing A Commission Visit
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Date: 20th September 2012
Preparing staff and management
Disclosure of documentation – pre-visit
Types of visit and what to expect
Common pitfalls and how to avoid them
Handling a visit
Seminar 8: Handling Enforcement Action
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Date: 25th October 2012
What is enforcement action?
Who are the enforcers?
Responding to production orders
Avoiding fishing expeditions
Legal professional privilege
Managing an internal investigation
Managing the risk of document destruction and creation
Issues arising during an inspection process
Responding to asset seizure attempts
The likely impact of civil confiscation provisions
Seminar 9: Managing The Risk Of Human Error
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Date: 15th November 2012
What are human factors?
The importance of human error in procedure‑driven environments
Common human factor problems
Steep authority gradients
Reliance vacuums
Dominant individuals
Identifying and addressing human factor issues
Developing an effective compliance culture
Seminar 10: Extra-territorial compliance risks
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Date: 13th December 2012
HIRE Act
OFAC
Onshore criminal investigations
US anti-money laundering provisions
UK Bribery Act
Case studies
What's New
Open Day on Saturday 28 April for New Degree Programme
An opportunity to find out more about the BSc (Hons) International Financial Services at the Business SchoolRead More »
CPD Plus Seminar Series 2012-2013 starting 16 May
The 2012–2013 CPD Plus Seminar Series will comprise ten seminars of 50-60 minutes followed by a 15 minute Q&A, plus two highlight events.Read More »