HighSkills

The Compliance Function in Commercial Banking


General objectives:
This course is aimed at all professionals who wish to acquire Compliance expertise in Commercial Banking.

Specific objectives:

At the end of the course, learners are able to:
  • Define and establish the need for a Compliance Department;
  • Avoid personal responsibilities: duties and obligations of "high managerial agents";
  • Set risk profiles among employees;
  • Manage the legalities in compliance;
  • Detect alarm and protection mechanisms;
  • Establish the key elements of a compliance program;
  • Apply compliance rules to your business;
  • Measure the effectiveness of a compliance program;
  • Systematize the critical levels of compliance;
  • Encompass the compliance of operational procedures;
  • Suit conducting internal investigations;
  • Perform maintenance and improvement of the program;
  • Dealing with shareholders in the event of internal investigation;
  • Avoid Money Laundering through compliance;
  • Assess the impact of the Board of Directors and the Director - General in compliance culture;
  • Turn compliance into a competitive advantage.


CONTENTS

Module I - Concepts
  • Compliance Basics
    • Direction, risk management and compliance;
    • The compliance management;
    • How to avoid personal responsibilities: duties and obligations of "high managerial agents";
    • In addition to the law, reputational risk and other intangible
  • Why you need a Compliance Department?
    • Whence comes the need for someone who meets the compliance functions;
    • Role of the compliance department and its Director;
    • How to start from scratch;
    • Compliance Templates
  • What are the Compliance Department Functions?
    • Risk assessment;
    • Definition of a compliance program;
    • Monitoring, measurement and analysis of the compliance program;
    • Definition of risk profiles among employees
  • The Legal Framework of Compliance
    • The legal landscape of compliance and ethics programs;
    • Management of legal matters in compliance:
      • Compliance as attenuator penalties;
      • The use of the legal professional privilege;
      • As the process matters relating to due diligence;
      • The Affairs concerning conflicts of interest;
      • The Revelations.How to establish a Compliance Program?
      • Basic framework to establish a compliance program;
      • What are the key elements of a compliance program;
      • What are the key strategies and the best tactics to implement and maintain a compliance program;
      • How to build a compliance program on ethics, legality and productivity of operations, while minimizing the business risk;
  • How to apply compliance rules to your businessThe efficiency of Compliance Programs
    • How to achieve an effective compliance program;
    • Procedures which may be adapted for compliance results;
    • How to measure the effectiveness of a compliance program;
    • How to carry out evaluations;
    • Who can use these analyzes;
    • Establishment of significant measures for assessing compliance performance;
    • What are the compliance features:
      • the manuals, job aids, sources of advice;
    • How can encompass compliance with operating procedures.
  • How to perform maintenance and Program Improvement
    • Training and updating;
    • Other visible tools;
    • Internal Audit and Review;
    • Other supervisory bodies;
  • Agreements with regulators.Internal Investigations
    • What are the best practices for proper conducting internal investigations;
    • Internal investigations at the request of the Board of Directors;
    • How to deal with stakeholders in case of internal investigation;
    • How can "complicate" an internal investigation;
    • What are the most common errors in conducting an internal investigation?
  • How to Avoid Money Laundering through compliance.
  • What is the Relationship of the Board of Directors with the Compliance area
    • Impact of the Board of Directors and Director General in compliance culture;
    • What are the means at the service of the Directors Board to whether a compliance program is effective:
      • How to check the efficiency of a compliance program;
      • How to perform the evaluation process efficiency;
      • The evaluation process should be internal or external;
      • The information reports to the Board of Directors;
      • How to prepare the answers to the questions that will be carried out by the Board of Directors.
    • How should protect with the compliance function?
      • the How to protect yourself;
      • the Why protect yourself;
      • How should the change, where and what the appropriate time.
    • How can turn compliance into a competitive advantage and how to deal with crisis
    • Can a compliance program to improve the efficiency of your organization?
    • How to deal with compliance crises?
      • What is that the regulators want?
      • Stakeholder management;
      • Using the non-conformity with the law to improve the business
Module II – Audit
  • Difference between Internal Audit and Compliance.
  • What are the benchmarks for Audit Compliance? What is the role of Internal Auditors in Audit Compliance? Knowing the Audit.
    • Assess the risk of compliance and how it is managed;
    • The existence of monitoring mechanisms for compliance risks
  • Skills and Training of Internal Auditors
    • Multidisciplinary View of internal auditors;
    • The guiding principles of the auditor;
    • objective view regarding the changes to be evaluated and implemented in the corporate business environment;
    • The profile and Conduct of Internal Auditors.
  • Planning the Compliance Audits
    • Criteria to consider for planning the audit
  • How to make a Compliance Audit Program
    • Objectives, scope, testing and other audit procedures
  • How to write a Compliance Audit Report
    • Timing;
    • What kinds of effective reporting and writing (Reporting Objectives with essays focused on seeking the cause of the deficiencies in Cases and preventive internal controls);
    • Reports as a generator of preventive and corrective actions
Module III - Fraud - Is identification level:
  • Cash;
  • Opening accounts;
  • Drive accounts;
  • internal accounts settlement;
  • Transfers between accounts;
  • Accounts without movement;
  • overdrafts;
  • documentary Compliance;
  • cards;
  • electronic banking;
  • Access to systems.
High Skills - Formação e Consultoria
Angola | Cabo- Verde | Moçambique | Portugal | S. Tomé e Princípe


Next date: consult us
Schedule:
Duration: 60 Horas
Investment: 3.900,00€
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