LIST OF AVAILABLE COURSES
CNL ADVANCED CERTIFICATE IN AML GOVERNANCE, RISK AND COMPLIANCE
Course Outline
MODULE 1: UNDERSTANDING THE REGULATORY ENVIRONMENT
- The need for, and objectives of, regulation
- Sources of regulation
- Prevention of money laundering and financial crime
- Understanding money laundering offences
- Designing an effective reporting system
- Terrorist FInancing
- Money laundering and tax evasion
- Financial crime
- Preventing fraud
- Corruption
- Market manipulation/misleading statements, insider dealing, and market abuse
MODULE 2: INDUSTRY KNOWLEDGE AND AWARENESS
- Financial Services organisations: Background
- Codes of corporate governance
- Introduction to Regulatory principles
- Number of Financial instituitions and relevant organisations in Nigeria and Africa
- Overview of Nigeria's Financial sector
- Overview of commercial laws and mechanisms governing legal persons and arrangements
- Regulators
- Products and Services
- Recent regulatory and market developments and trends
- Selected current trends
MODULE 3: THE ROLE OF THE COMPLIANCE OFFICER
- Compliance structure
- The role of the Compliance officer
- Politically Exposed Persons[PEPs]
- Key complaince activities and processes
- Risk-based compliance monitoring
- Investigating compliance breaches
- Training
MODULE 4: COMPLIANCE IN PRACTICE
- Compliance Governance
- Internal and external relationships
- Links between compliance, culture and ethics
- Specific internal compliance control issues
- Risk Management
MODULE 5: KEY COMPLIANCE ISSUES
- Practical Considerations
- Compliance oversight and internal controls
- Internal controls - AML/Financial crime
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