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
- Difference between Internal Audit and Compliance.
- What are the s 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
- 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
Angola | Cabo- Verde | Moçambique | Portugal | S. Tomé e Princípe