Compliance in Commercial Banking

General objectives:
The compliance function in commercial banking, not being a novelty in Banking, is, however, a relatively recent function. Designing, framing and structuring this function in a modern banking organization is the aim of this action, at the end of which the trainees will be able to perform fully functions in this area. The articulation with the audit, as well as the scope and competences of each of these areas is also the objective of this course.

Specific objectives:
Reputation, legal observation and money laundering issues are part of the compliance intervention framework. All of them are analyzed and deepened in this action. But the compliance function also opens up a new window of opportunity in terms of improving the internal control mechanisms of organizations and refining the approach to this matter, with implications for the design of the organization, in general, of the institutions, in particular with regard to intervention of areas such as auditing and of the Directorates of organization and quality.
At the end of this action the trainees will be able to:

• Perform duties in the scope of compliance;
• To know all the transversal impacts that this function has on an Institution, as well as the best practices at this level, namely with the audit.

 

CONTENTS

Module I - Which s for a Compliance Audit what is the role of Internal Auditors in a Compliance Audit? Know the auditee
Module II - Competencies and Training of Internal Auditors
Module III - Tools and Methodologies for a Compliance Audit
Module IV - How to Plan Compliance Audits
Module V - How to Develop a Compliance Audit Program
Module VI - How to Write a Compliance Audit Report