Online Professional Certificate in Operations and Compliance

New York Institute of Finance

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  • online
  • on demand

New York Institute of Finance

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Who should attend

Broker dealer personnel new to securities processing; regulatory personnel; vendor personnel

About the course

MODULE 1: BROKERAGE OPERATIONS

  • Introduction to Brokerage Operations
  • Back Office: The Order Room
  • Back Office: Purchase and Sales
  • Back Office: The Margin Department
  • The Cashier's Department
  • Current Trends in Brokerage Operations
  • New Regulations in Brokerage Operations
  • Developments in International Brokerage Operations

MODULE 2: PROCESSING SECURITIES TRANSACTIONS

  • Understand the processing and approval procedures
  • Identify the functions of back office departments
  • Understand the key dates in a settlement

MODULE 3: MARGIN I: INTRODUCTION TO MARGIN REGULATIONS

  • Introduction to Margin Requirements
  • Margin Transactions
  • Margin Calls
  • Margin Requirements for Day Trading and Bonds

MODULE 4: ANTI MONEY LAUNDERING

  • What is Money Laundering
  • International Initiatives
  • Customer Identification Program
  • USA PATRIOT ACT
  • Wolfsberg Principles on Correspondent Banking
  • Terrorist related money laundering

MODULE 5: BANK BRANCH MANAGEMENT – PAYMENT AND SETTLEMENT SYSTEMS

  • Payment and Settlement Systems
  • Electronic Transfer of Funds

MODULE 6: BANK BRANCH MANAGEMENT – TECHNOLOGY AND SECURITY

  • Internal Controls in Banks
  • Banking Technology
  • Branch Security Management
  • Branch Security Fraud Aspects

MODULE 7: FINANCIAL PRIVACY

  • Financial Privacy Regulation
  • Privacy Notices and their Content
  • Exceptions to the Rules and Reuse of Information
  • Exam Procedures
  • Security Guidelines
  • Section 501b of the GLB Act and the Management

MODULE 8: SARBANES OXLEY

Overview of SarbanesOxley Act Public Company Accounting Oversight Board * Auditor Independence * Corporate Responsibility * Enhanced Financial Disclosures * Analyst Conflicts of Interest * Commission Resources and Authority * Studies and Reports * Corporate and Criminal Fraud Accountability * White Collar Crime Penalty Enhancements * Corporate Tax Returns * Corporate Fraud and Accountability

MODULE 9: CORPORATE TREASURY MANAGEMENT: IMPLEMENTATION

  • Treasury Management – Scope and Importance
  • Overview of Risk Management
  • Treasury Management Systems
  • Treasury Policy
  • Treasury Controls
  • Accounting for Derivatives

MODULE 10: GOVERNANCE RISK AND COMPLIANCE

  • Classification of Risks
  • Introduction to ERM and its Frameworks
  • Regulatory Landscape
  • GRC Demystified
  • COSO and CobiT in Support of GRC Needs
  • Operational Risk Management Primer
  • GRC Case Study

MODULE 11: OPERATIONAL RISK MANAGEMENT – BASEL II

  • ORM Framework
  • Risk Identification
  • Loss Data Collection Methodology
  • Risk SelfAssessment
  • Key Risk Indicators
  • Risk Quantification I
  • Risk Quantification II
  • Management Applications
  • Realization Challenges and Deployment Strategy

WHAT YOU'LL LEARN

Become familiar with common to complex regulatory transactions Recognize the importance of brokerage operations Define the different kinds of customer accounts Recognize how trades are recorded Calculate the net amount due to a customer from a trade Identify how trades are compared, reconciled confirmed, and booked. Identify how settlement is performed using trade for trade and netted balance systems. Recognize how technology has automated back office procedures. Identify how brokerage operations are changing globally. Recognize regulations that govern margin Review a typical Margin Agreement Identify the rules of liquidation/withdrawal. State the requirements for marginal bonds. Describe how accounts become restricted. Understand The process of Money Laundering, measures against money laundering and initiatives taken by various organizations to combat terrorism Comprehend the implications of offshore financial centers and noncooperative countries on Money Laundering Understand Due diligence measures undertaken by financial institutions to deter money laundering and terrorist financing Explain Regulations applicable to banks Understand various modes of payment and settlement systems Discuss the mechanism of electronic funds transfer Understand the features of different automated clearing systems Discuss the role of technology in banking Understand Branch Security Management Recognize Fraud Aspects of Branch Security Explain Restrictions on sharing of information Understand Security guidelines and MUCH more!

Online Professional Certificate in Operations and Compliance at New York Institute of Finance

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