Course description
Chief Compliance Officer (CCO) Programme
This advanced 5-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 behavioural integrity as the cornerstone.
Led by a long-term senior financial services executive who is currently a dean and professor with over 20 years’ experience in compliance and risk, the Chief Compliance Officers (CCO) Programme combines a range of learning methods to examine:
- The integrative nature of compliance in the overall firm mission and corporate governance structure behavioural compliance
- The emerging field that focuses on the use of social science concepts in psychology and economics to influence behaviour 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
Upcoming start dates
Training content
Day 1
- End to End: Development of the appropriate rubrics in building and managing an effective end to end Compliance
- ProgrammeCase Study 1: Misalignments and the escalation of inappropriate compliance systemsThe 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
- Alignment
- Reporting What Matters
- Compliance and Risk Simulation
Day 3
- Deep Dive: Anti-Money Laundering and Combatting Terror Financing
- It’s the Stress that Will Kill You: Stressing Testing and the interconnecedness of Compliance and Risk across the organization
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
Costs
Course fee
- London - £5295 + VAT
- New York - £5295
Certification / Credits
- 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
Why choose Euromoney Learning?
4.6/5 rating on course check for service
60,000 professionals trained across public courses
80+ countries where training is delivered
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Euromoney Learning
At Euromoney Learning, we understand that learning doesn’t start and end when you leave the classroom. We know that the financial markets never stand still, and that technology has both simplified and added complexity at a break-neck pace. That’s why...