Compliance and Banking Supervision

General objectives:
This course is addressed to all professionals who wish to acquire knowledge of Compliance in Commercial Banking

Specific objectives:
At the end of the course the students were able to:

• Define and establish the need for a Compliance Department;
• Avoid personal responsibilities: duties and obligations of "high managerial agents";
• Define risk profiles among employees;
• Manage legal matters in compliance;
• Detection of alarm and protection mechanisms;
• Establish the fundamental elements of a compliance program;
• Apply compliance standards to your business;
• Measure the effectiveness of a compliance program;
• Systematize critical compliance indexes;
• Encompass compliance in operational procedures;
• Identify and analyze process improvement;
• To facilitate the carrying out of internal investigations;
• Maintain and improve the program;
• Dealing with shareholders in case of internal investigation;
• Avoid Money Laundering through compliance;
• Assess the impact of the Board of Directors and the Director General on the compliance culture;
• Make compliance a competitive advantage. 

CONTENTS

 Module I - Concepts
Module II - Compliance and Supervision. Differences and Scope Convergences. Internal institutional cooperation between Control Directorates.
Module III - A brief approach to some typologies of fraud. Operational contribution of the compliance function to its mitigation.