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USA/Canada/Mexico Central Time Zones
CPEs: 24
Instructor: Dennis Cox
Level: Intermediate
Tuition: £2,495.00
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NEW Auditing Compliance and Compliance Risk in Banks IA088

Location: USA/Canada/Mexico Central Time Zones

First Date: Oct 18-20 2021

Duration: 3 days/24 hours

Programme Director: Dennis Cox

All Dates & Locations
Venue Details

Experience the highly-interactive expert-led social learning through Virtual Classroom via Cisco WebEx from Risk Reward.

All our 2021 Virtual Classroom events feature shared (or discrete) live chat between delegates and the expert, participate in topical surveys, polling questions, group exercises and case studies for a tried -and- true engaging and gratifying learning experience.

"Good overall look at bank environment and related risks, and a nice refresher for me having been out of the audit environment for quite a while. I appreciated Dennis' diverse level of experience in audit/compliance/risk."
Senior Internal Auditor, USA Bank
Agenda Highlights

Session 1: The Approach to Auditing Compliance

Session 2:  What goes wrong in practice

Session 3:  Auditing Compliance and Governance

Session 4:  Auditing Financial Crime Deterrence

Session 5:  Sanctions and Sanctions Risk

Session 6:  Auditing Conduct Risk, Bribery and Corruption

Session 7:  Auditing Data Regulations

Session 8:  Auditing Marketing and Advertising Compliance

Session 9:  Auditing Compliance and Human Resources

Session 10:  Other Issues

 

 

 

 

"A very useful course. An excellent lecturer! We should invite this lecturer again in the future."
Audit Manager, Bank of New York Mellon, Taiwan
Overview

Compliance is everywhere in banking and fundamental to the way that a bank operates.  Regulations arise from different sources and banks need to take an integrated approach to ensure that all matters are appropriately dealt with.

This course enables delegates to have confidence that they are able to audit compliance issues, adding value to their organisation and providing the necessary assurance that management requires including the audit of key compliance issues and their control within banking.  It begins with considering how to audit compliance and the key areas of risk including the governance aspects and then deals with a number of the key elements of compliance including elements of conduct risk, financial crime deterrence and sanctions risk.

Delegates will learn how to audit data issues and also a range of other significant compliance issues building a series of detailed audit programs which will support their future work in this area.

"The instructor was extremely knowledgeable of the subject matter. Most of the information was presented under the pretense that we were all familiar with the content and he managed to make everyone participate. Lots of content squeezed into a small window. We could always benefit from additional time to cover various areas in more depth. The instructor did a nice job presenting the content given the time and class structure that he was presented with."
Senior Audit Manager, USA Bank
Who Should Attend

While this course is designed primarily for bank internal auditors recent delegates include those from  bank risk management and compliance, legal, IT, HR, accounting firms and software vendors.

 

Additional Course Information

What Does It Cover?

Starting with considering how to audit compliance and the key areas of risk including the governance aspects the course then deals with a number of the key elements of compliance including conduct risk, financial crime deterrence and sanctions risk.

The Compliance landscape, Internal audit and compliance, IIA and Compliance, What worries your Board, Where compliance sits in an organisation, the key regulations we need to comply with, Reliance on legal advisors, Approach to auditing compliance, Preventative v detective controls, The role of the Compliance Officer, The relationship to the Board, The relationship to the legal function, Embedding compliance management into an organisation, Dealing with change, 1st and 2nd line roles, Local and global compliance registers, Compliance risk matrices, Risks and risk mitigation, Embedding controls throughout the organisation, Politically exposed persons, Beneficial ownership, The nature of the sanctions regime, The role of OFAC. Sanctions and sectoral sanctions, Checking relationships, Identifying sanctions risk, Sanctions compliance and reporting and much more.

 

Learning Objectives

Delegates will gain specialist technical and behavioural knowledge and practical experience of how to audit compliance within a bank and its governance, together with an understanding of the risk implications and how the role of compliance and legal differ.

Expert-led, delegate groups will develop case studies – a key course take-away – on the audit of

  • Governance
  • Conduct risk
  • Sales techniques and TCF
  • Financial crime deterrence
  • Sanctions risk
  • Data security
  • Marketing and advertising standard,

Live, in the virtual classroom, group developed audit program writing will include

Case Study:  How will we assess the importance of different rules and how will this impact our audit approach?

Case Studies:  Review of recent cases and consideration of additional controls that are required.  What does this tell us about the internal audit approach to be adopted?

Case Study:  Develop an audit program to address the governance of compliance

Case Study: Develop an audit program to address financial crime deterrence

Case Study:  Develop an audit program to address sanctions and sanctions risk

Case Study:  Develop an audit program to address Conduct Risk, Bribery and Corruption

Case Study:  Develop an audit program to address compliance with data regulations

Case Study:  Develop an audit program to address compliance with marketing and advertising requirements

Case Study:  Develop an audit program to address compliance within HR

Case Study:  Develop an audit program to address integrated reporting and modelling

Social Learning & Methods

Highly interactive expert-led intensive presentation, Q&A, group real-time in-depth case studies, audit writing programmes, regulation and discussion supported by key principles and theory.

The virtual learning platform uses safe, industry preferred encrypted Cisco WebEx to optimize live face-to-face visual interaction, discrete chat, for polling and quizzes.

(An invitation via email with access link is included for all participants.)

Registration

NEW Auditing Compliance and Compliance Risk in Banks

Course Fee

Early Bird Discounts of 10% available by May 1, 2021

Course Fee (per person):
GBP £2,495.00 (+ UK VAT when applicable)

Number of delegates:

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Terms and Conditions: You can cancel at any time. Due to the on-going COVID 19 environment cancellations may be made at any time for either a full refund or a credit towards another event occurring within the following 6 month period. Simply email or telephone the London Client Services team at training@riskrewardlimited.com to advise your preference and we will do our best to accommodate your circumstances. Risk Reward Ltd receives the right to a final decision in the event of a dispute.

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SKU: IA088 Categories: ,

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