Course Description:
The cost of non-compliance with regulatory BSA/AML standards within organizations has been great. Organizations have suffered irreparable reputational damage and have had to pay exorbitant regulatory fines in the millions for failing to implement and maintain strong compliance programs. It would be prudent to ensure your organization’s compliance program is effective and it is tailor-made in light of the key risk factors within your organization.
This seminar will provide an overview of the importance of the risk based approach in implementing and maintaining an enterprise wide compliance program.
This two day interactive workshop will also provide attendees:
The basis of the risk based approach and the essential elements of an effective risk assessment.
Transaction monitoring guidance, suspicious activity guidelines and independent testing techniques which would assist attendees in improving their companies overall compliance program.
A detailed review of enforcement action case studies and how these could have been prevented
Key internal controls that can help prevent and detect money laundering and terrorist financing
Best practice tools on how to implement and maintain an enterprise wide Risk Based Approach (RBA) compliance program within your organization
RBA Toolkit that will assist attendees to implement and maintain an effective enterprise wide compliance program
Learning Objectives:
To provide an understanding of the key elements of a risk based approach
To effectively mitigate the money laundering and other financial crime risk within your organization
To meet/exceed regulatory expectations and to ensure the organization is prepared to manage vulnerabilities of money laundering and other financial crimes
To understand the holistic nature of the risk assessment which takes into account all business lines of the organization
The course will focus on the following key aspects of an enterprise wide compliance program:
Policies and Procedures
Customer Due Diligence
Transaction monitoring guidance
Suspicious Activity Reporting guidelines
Ongoing Due Diligence
Adequate training
Independent testing techniques
Senior Management Oversight
For more information kindly visit : http://www.companyprofilesandconferences.com/seminars-conferences/Conference-c42/The-Importance-of-a-Risk-Based-Approach-in-Implementing-and-Maintaining-an-Enterprise-Wide-Compliance-Program.html
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Company Profiles And Conferences
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Fax : +91 22 27810778
E-mail : info@companyprofilesandconferences.com
Website : www.companyprofilesandconferences.com
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