Includes the assessment of the experience and allocation of areas of responsibility/ duties to persons in key roles i.e. (1) customer interfacing and (2) back office staff and (3) staff involved in oversight and monitoring roles.
Consists of the evaluation of the training programme focusing on completeness, audience, content, delivery, frequency, monitoring and reporting.
Entails the assessment of (1) customer due diligence related processes, (2) records management, (3) regulator and governance reporting and (4) stakeholder engagement aligned to legal obligations and leading practice.
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Assessing of existing governance structures to determine the extent to which there is alignment with financial crime regulatory requirements, obligations and guidance. This includes an assessment of the Board, Executive Committee, forum mandates/ terms of references and reports received - in line with financial crime areas of accountability.
Review of existing policies and risk framework (including RMCP) for completeness and alignment with laws and regulations, regulatory requirements and leading practice. This includes the extent to which financial crime requirements are included in the Enterprise Risk Management Framework.
An evaluation of the extent to which the entity lines of defence have incorporated financial crime regulatory requirements into their roles and responsibilities. This includes front line and back office management and staff (first line), oversight functions e.g. risk, compliance and anti-money laundering (second line) and internal audit (third line).
Consists of a detailed assessment of the level of risk and compliance oversight and monitoring taking place within the organisation within the various lines of defence. This includes management assurance, second line assurance providers and independent assurance..
The training includes creating awareness of financial crime related trends and developments locally and abroad, responsibilities and areas of accountability in terms of relevant legislation, guidance and other regulator communications.
PECB is a certification body that provides education, certification,
and certificate programs for individuals on a wide range of disciplines.
We help professionals and organizations show commitment and competence by
providing them with valuable education, evaluation, certification, and certificate
programs against rigorous internationally recognized standards.
Arctic Intelligence is a privately owned, globally focused RegTech firm that specialises in audit, risk and compliance software related to financial crime compliance and risk management. Arctic Intelligences vision is to become the leading global provider of cloud-based software to enable regulated businesses to manage financial crime risks and achieve cost-effective compliance with regulations. Arctic Intelligence has developed three leading cloud-based software solutions that leverage technology to re-engineer the way in which major financial institutions and other regulated businesses manage their financial crime risk and compliance programs.
AML Accelerate - A cloud-based, integrated approach to assess and manage enterprise money laundering and terrorism financial risks. Designed for small to medium sized regulated entities.
Risk Assessment - A flexible and configurable enterprise risk assessment solution for large complex entities and consultants to assess financial crime risks.
Health Check - An assurance workflow solution for consultants and large complex entities to assess the effectiveness of financial crime compliance programs.
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