Anti-Financial Crime for Senior Management
Business-specific fincrime risks; relevant regulation; design and implementation of fincrime controls.
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Mode of Delivery
9AM to 5PM
Business-specific fincrime risks; relevant regulation; design and implementation of fincrime controls
Explain the different financial crime types and how these may impact your business.
Provide an overview of the international, regional and domestic bodies that combat financial crime in the financial services sector and provide an overview of the role of the regulator.
Explain the roles and responsibilities of an executive team when it comes to financial crime prevention and explain the concept of fitness and probity.
Provide an overview of the senior management AML/CTF obligations including how to implement a risk approach and identify your business’ risk appetite.
Highlight the importance of having a robust anti-financial crime programme and the implications of getting it wrong
This Course Is Designed For
Money Laundering Reporting Officers (MLROs), Nominated Officers (NOs), Heads of Compliance, Board Members
Module 1: What is Financial Crime?
Module 2: Regulatory Landscape and the Role of the Authority
Module 3: Roles and Responsibilities as an Executive Team
Module 4: Fitness and Probity
Module 5: Senior Management AML/CFT Obligations
Module 6: What is the risk-based approach? What is your firm’s risk appetite?
Module 7: Implications of Getting it Wrong
Sara has over 6 years of experience working in FCC roles across a range of financial products including FX and payments, Private Banking, and Corporate and Investment Banking (ex Credit Suisse, CurrencyCloud). She is also experienced in Financial Crime Operations, Transaction Monitoring, SAR reporting, and Anti-Money Laundering investigations.
Sara has over 3 years of experience training a range of financial services businesses on Anti-Financial crime (AFC) training and agile project delivery. She has worked with a range of financial institutions designing AFC frameworks for emerging products, testing and implementing third-party AFC solutions, and conducting audits on financial crime control frameworks. She is a graduate with BA in War Studies; combines an academic background in geopolitics with professional experience in financial crime compliance.
FINTRAIL is a consultancy with expertise in using financial and regulatory technology to combat financial crime. Learn more about FINTRAIL - https://fintrail.com/
Andy is a former financial investigator and financial crime analyst for City of London Police and has over twelve years’ experience working at the forefront of intelligence led policing, the last seven of which he has specialised in complex fraud and money laundering investigations. Andy has led multiple, successful investigations including into an international crime group engaged in transnational money laundering and an employee engaged in insider fraud at a large multinational corporation.
Andy has significant experience advising financial institutions on counter fraud techniques, SARs best practice and working with financial intelligence and has previously represented City of London Police at The Hague.
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