Compliance Functions and Risks, Their Management in Practice

Promote the understanding of the operational compliance function in credit financial institutions by introducing the theoretical material determined by international organizations, the practical aspects of its implementation, best practices and solutions to tasks specific to the function.

• Heads of structural units of credit institutions and financial institutions;
• Employees performing compliance monitoring or control functions.

• Orientate yourself in information about the function of operational compliance in credit or financial institutions;
• Apply best practices in providing an operational compliance function;
• Pass the test on the topics covered in the course.

Not intended. At the end of the training, a test is taken on the topics covered in the course and a BDA Certificate of completion of the course is issued.

Requirements set by international organizations (Basel Committee GL 44);

Operational compliance function regulatory requirements;

What compliance is and what it involves:

• role in the organizational structure of the institution.

Corporate governance compliance;

Operational Compliance Risks:

• identification, assessment, management and monitoring of risks in products and processes;
• compliance checks, controls, monitoring;
• investment services;
• sustainability field;
• AML/CFL and Sanctions Law;
• Compliance measures:
  • internal regulatory documents;
  • new services and products.

Managing conflicts of interest;

Ethics monitoring in the institution;

Informing the management of the institution and evaluating the effectiveness of the function.