This training course aims to provide a complete overview of a bank's internal controls and compliance activities. Alternation between theoretical notions and practical simulations aims to provide a hands-on knowledge of the training course elements
Learning Objectives:
At the end of this session, participants will be able to:
Handle the intricacies of bank internal control and regulatory compliance in order to avoid sanctions, financial and reputational losses.
Course Outline
- Regulatory framework and conditions of practice
- Internal controls requirements
- Internal controls system : risk mapping, distinction between continuous control and periodical controls
- Compliance : definition, scope, links with other control departments
- Application : comparative analysis of the internal controls organization and the compliance departments of several major banks
- Auditing - strategy, procedures, results
- Elaboration of an audit program
- Drafting the audit questionnaire
- Conducting interviews and validation tests
- Drafting the audit report
- Application : analysis of an audit report on a compliance department
- Banking operation cycles
- Means of payment
- Credits and liabilities
- Client deposits
- Financial operation cycles and cross-department activities
- Market operators : front office, middle office, back office
- Other financial operations : operations for own account, operations for clients
- Support departments : legal, human resources, communication, marketing
- Ethics and Corporate Governance
Course Booking
Please use the “book now” or “inquire” buttons on this page to either book your space or make further enquiries.
