Training Objectives

Participants of the programme, will be able to:

• Describe who should prepare the risk assessment and who should participate
• List the inventory of the risks / risk scenarios
• Understand the likelihood, impact, net and gross risk
• Appreciate real life case study
• Understand what is meant by risk appetite
• Consider some common pitfalls

Training Outline

• Introduction / expectations
• How to conduct a risk assessment
• Case study
• Validation session

Who should attend 

The course is ideal for professionals within the financial services sector, and will be particular benefit to:

• Compliance and Ethics Managers and Officers
• In-house counsel with responsibility for compliance
• Company secretaries
• Internal Auditors who audit compliance programmes
• External Accountants who have to form an opinion on compliance risks and controls
• Service providers to the compliance community

Training Style

The programme is designed to deliver knowledge and enhance participants’ skills, through an interactive approach that includes presentations, questions and answers, discussions, best practices and case studies.

Participants will have the opportunity to apply what has been learned from the case studies in break-out rooms.  The session will also use short videos and case studies to demonstrate many of the points raised.

CPD Recognition

This programme may be approved for up to 5 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.

This training course may be approved as an external activity under the  new  ACAMS  recertification  category  ”non-ACAMS credits” for up to 5 CPD units. Eligibility criteria and CPD Units are verified directly by the Association of Anti-Money Laundering Specialists (ACAMS). To read more about the non-ACAMS credits policies and eligibility criteria please click here. 

In-house Training

For groups within the same organisation, this course may be customized to meet any specific needs and delivered in-house.