WORKSHOPS

This workshop provides a comprehensive understanding of financial crime compliance, focusing on key processes such as assessing and managing risks across the organization, adopting a risk-based approach, and determining the organization’s tolerance for risk. It covers customer and transaction due diligence, with a particular emphasis on Politically Exposed Persons (PEPs) and Ultimate Beneficial Owners (UBOs). The program also addresses monitoring for fraud and suspicious activities, adhering to sanctions regulations, and implementing anti-bribery and anti-corruption measures. Participants will learn how to conduct investigations, report findings effectively, and provide necessary training to ensure ongoing compliance within the organization.

This workshop is designed for professionals in financial services, compliance, risk management, and anti-financial crime roles, including those involved in customer due diligence, fraud monitoring, sanctions compliance, and investigation.

Certificate of participation issued by the UASA & SCA Professional Training & Examinations Centre.

[05 CPD Hours] (Workshops on financial crimes, AML or Cybersecurity or Innovation in securities)

15:00 - 16:20 Session 1

16:20 - 16:30 Break

16:30 - 17:50 Session 2

17:50 - 18:00 Break

18:00 - 19:00 Session 3

Key Financial Crime Compliance Processes

- Enterprise-Wide Risk Assessments

- Risk Based Approach

- Risk Appetite

- CDD / EDD / ODD

- PEPs and UBOs

- Transaction & Fraud Monitoring

- Sanctions and Screening

- AB&C

- Investigation and Reporting

- Training