Compliance and assesment tehniques for compliance risk

Compliance and assesment tehniques for compliance risk

OBJECTIVE

The program is presenting to the participants the consolidated legislation and best practices regarding compliance function, preventing, sanctioning money laundering and combating the financing of terrorism as well as methods for assessing compliance risk.

As methodology, the course will have a strong practical and interactive approach, the grounding of theoretical concepts being achieved by analyzing case studies and with personal experience contribution.

The examples will be tailored to the products offered by financial services industry.

TARGET GROUP

This course is recommended to staff with responsibilities in the area of compliance function, to front office officers that are engaged in direct activities with clients and to legal department personnel.

CONTENT

  1. Compliance function – organization, responsibilities, compliance policy, why is it important to define the purpose of the function and to  define the relationship with other functions;
  2. Prevention, control of money laundering and combating the financing of terrorism – PEP, REP, verification methods of the ultimate real beneficiary;
  3. Typologies of money laundering;
  4. Practical techniques for assessing compliance risk – categories of compliance risks, probability and impact assessment methods, financial and non-financial risk criteria.

TRAINER

Maria Magdalena Calangiu, licensed in Law, is the Director of the  ING Global Compliance Center, coordinating the monitoring of the specific compliance risks, as standardized and centralized on behalf of the global compliance function at  the level of ING group.

She has a vast legal and compliance expertise, gained during her more then 20-years career in various organizations such as the Ministry of Finance, Local F.I.U., Credit Europe Bank, ING, BRD-GSG.
Her international certifications include Diploma in Compliance – ICA & University of Manchester, UK; Certified AML Specialist – ACAMS, USA; MBA Open University UK.

Since 2010 she has been certified  by MMFPSPV and MEN both as a Trainer and as a Professional Competence Evaluator.

Ms. Calangiu is the author of the analysis and standard for the Compliance Officer’s occupation as well as the subsequent course.

DATE

27 septembrie 2019, between 9:00 – 17:00

RBI will hold the course on its premises, providing specialised lecturers, course materials and catering services during the training day.

At the end of the course, participants will be given a certificate, issued by RBI (under the aegis of the founding members: NBR and RBA), with 7 CPD credits.

LANGUAGE: Romanian/English

CONTACT

Maria Plăişanu
Training Manager
Telephone: 0372 394 427
Mobile telephone: 0748 886 846
E-mail: maria.plaisanu@ibr-rbi.ro

Name*

Institution

Department

Position

Phone number*

Fax

E-mail*

Course*

Comments

Name*

Institution

Department

Position

Phone number*

Fax

E-mail*

Course*

Comments