TWELVE
TWELVE

Course Description

Regulatory Compliance considers the laws, regulations and rules that make up an effective compliance program and establishes the framework for financial crime investigations. Similarly, Governance sets out how compliance and risk are managed within both the compliance program and the organisation as a whole.

This course will address the key considerations in Regulatory Compliance and Governance, providing the financial crime professional with a strong understanding of the concepts of each and the key elements of an effective compliance program.

Upon successful completion of the course, you will receive a certificate of completion and digital badge. Earn 20 CE credits.

LEarning outcomes

You will gain a detailed awareness and understanding of Regulatory Compliance and Governance, including

  • Know your Customer (KYC) and Customer Due Diligence (CDD)

  • Politicall Exposed Persons (PEPs)

  • The Three Lines of Defence

  • Compliance Reviews and Training,

  • The roles of International Bodies and the Regulator,

Each module will be assessed via a multiple choice quiz

 

Target Audience

  • Compliance officers

  • AML Investigators / Analysts

  • Fraud Investigators / Analysts

  • Those looking to enter the Compliance/ Financial Crime field

The course is designed for working professionals and takes into account work commitments

 

Delivery and Assessment

  • 19 modules

  • Recorded presentations

The course is assessed via a multiple choice exam

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Course Outline

  • Module 1: Money Laundering and Terrorist Financing

  • Module 2: Anti-Money Laundering (AML) and Anti- Terrorist Financing (ATF)

  • Module 3: AML / KYC Governance Structure

  • Module 4: Chief Compliance Officer (CCO)

  • Module 5: Customer Due Diligence (CDD) and Know Your Customer (KYC)

  • Module 6: Transaction Monitoring and Investigation

  • Module 7: PEPs and Enhanced Due Diligence (EDD) Measures

  • Module 8: Suspicious Activity Report (SAR) / Suspicious Transaction Report (STR)

  • Module 9: Compliance Reviews and Training

  • Module 10: Records and Documentation

  • Module 11: International Bodies Governing AML Regime

  • Module 12: National Legal and Regulatory CDD/KYC Frameworks

  • Module 13: Role and Supervision by Regulator

  • Module 14: Three Lines of Defense

  • Module 15: Board of Directors Governance

  • Module 16: Board Compliance Committee (BCC)

  • Module 17: Compliance Function

  • Module 18: Role of Internal Audit

  • Module 19: Periodic Board Reporting

The Investment

CAD $200

Upon successful completion of the course, you will receive a certificate of completion and digital badge. Earn 20 CE credits.

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