Available dates

Jul 20—24, 2020
5 days
London, United Kingdom
GBP 5560 ≈USD 7522
GBP 1112 per day


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About the course

Master best practice in modern, executive-level compliance risk management

This advanced 3-day course in compliance risk management will refine your understanding of how to align, manage, and implement a compliance vision that supports your firm’s mission with behavioral integrity as the cornerstone.

A long term senior financial services executive who is currently a dean and professor with over 20 years’ experience in compliance and risk, the course instructor combines a range of learning methods to examine:

  • the integrative nature of compliance in the overall firm mission and corporate governance structure
  • behavioral compliance; the emerging field that focuses on the use of social science concepts in psychology and economics to influence behavior built upon integrity and values
  • the appropriate development and use of risk metrics
  • the development of a corporate compliance culture and the CCO's challenge in influencing communication and organisational behaviour
  • the integrative nature of compliance in the risk spectrum
  • the development and management of an end-to-end compliance programme
  • today's most pressing compliance and risk challenges such as stressing testing and CCAR

Attend this intensive 3-day course and:

  • Discuss and debate the roles and responsibilities of the CCO with like-minded peers
  • Understand how compliance fits into the organisation and corporate governance structure
  • Understand behavioural compliance and how to implement effectively in your organisation
  • Learn how to use various tools and methods to develop and use the best risk metrics
  • Update your knowledge of the latest global regulations
  • Learn how to motivate and retain the right people
  • Gain guidance in how to address internal political as well as practical challenges in establishing an effective compliance function and executing the CCO role
  • Improve your ability to communicate and report effectively as a CCO


Day 1

Setting The Stage

  • It’s the Stress that Will Kill You: Stressing Testing and the interconnecedness of Compliance and Risk across the organization
  • Compliance in the Corporate Governance Spectrum: appropriate alignment of the compliance function in the organization’s corporate governance structure
  • It All Begins With Why: an investigation into the development of a corporate compliance culture built upon the emerging field of behavioral finance and behavioral compliance; introduction to the neuroscience that underlies behavior in a compliance environment
  • End to End: Development of the appropriate rubrics in building and managing an effective end to end Compliance Programme
  • Case Study 1: Misalignments and the escalation of inappropriate compliance systems
  • The Appropriate Use of Metrics and their Effective Communication for Issue Spotting, Escalation, and Resolution
  • Kicking the Tires: Internal, Pre-emptive Compliance Stress Testing

Day 2


Where Do I Fit In: Compliance and its effective management through understanding the intricate areas of risk management:

  • Enterprise Risk Management
  • Liquidity Risk Management
  • Credit Risk Management
  • Operational Risk Management
  • Compliance Risk Management
  • Legal Risk Management
  • Market and Portfolio Risk Management
  • Reporting What Matters: designing effective meetings and structures across the business lines and the control functions to obtain the appropriate data and information for an effective compliance department to function
  • Research in the Areas of Compliance and Risk Management
  • Developing an Effective Compliance and Risk Training Programme: design and implementation of a detailed and effective Training
  • Needs Analysis and Training Plan
  • Developing an Effective Compliance Risk Assessment Matrix: design and implementation of a detailed and effective Compliance
  • Risk Assessment Matrix
  • Compliance and Risk Simulation: application of concepts through a multi-tiered compliance and risk simulation including role playing, break outs, data, negotiation, and resolution

Day 3

  • Deep Dive: Anti-Money Laundering and Combatting Terror Financing. The morning will be devoted to the development of an effective anti-money laundering programme and its implementation and management in a financial services institution. The exercise is conducted by a step by step methodology that includes the organizational risk profile; management risk appetite and tolerance, the client onboarding process; effective KYC and KYI methodologies, developing monitoring and surveillance systems and reporting; appropriate reporting and escalation; scenario testing; and decision making.
  • Understanding the Business to Understand Compliance
  • Staffing: What Makes for An Effective Compliance Officer: skill sets; qualities; and experience
  • Best Practices in the Management of the Compliance Function
  • Emerging Compliance Issues Around the Globe
  • Compliance Resources and Tools

Day 4

AntiMoney Laundering and AntiTerrorism Financing Compliance

  • Current situation and required tasks in the context of international antimony laundering regulation
  • Current regulatory requirements regarding international antimony laundering
  • Best practice in antimony laundering in leading international banks
  • On boarding and Know Your Customer (KYC) programs
  • Account monitoring
  • US sanctions programs
  • Suspicious Activity Reporting (SAR) background and history
  • SAR regulatory requirements
  • SAR within the AML/CTF framework
  • The SAR program and process: policies and procedures
  • Risk and control assessment
  • Case studies in money laundering and terrorist financing
  • Feedback and process improvements

Day 5

AntiBribery and Anticorruption (ABAC) and Foreign Account Tax Compliance Act (FATCA)

  • Foreign Corrupt Practices Act (FCPA), UK Bribery Act and the growing number of international corruption
  • regulations
  • Bribery in business transactions
  • Illegal or corrupt payments to government officials
  • Applicability of the Act
  • What does a corrupt act means under FCPA
  • Who is governed under the antibribery provisions?
  • How to shield your organization from corrupt practices
  • FATCA historical background and context
  • Key FATCA aims and objectives
  • The impact of FATCA (Classification, Reporting, Withholding)
  • Other significant international regulations

Trust the experts

Mario Difiore

The course director is Assistant Dean, Senior Advisor and Adjunct Professor, Gabelli School of Business, Fordham University, New York (Former Co-Global Head and Director of Compliance Training, Deutsche Bank AG, Commercial and Investment Bank) He joined Fordham’s GSB Administration, July 2010 aft...


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