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Compliance Monitoring and Internal Controls

To train compliance professionals on developing and executing a compliance monitoring plan, testing controls, identifying gaps, and reporting findings to management.

5 9 Outlines
Real Estate Compliance Officers MLROs and Deputy MLROs KYC/CDD Analysts Front-line and Relationship Management Teams Customer Support Teams Operations and Finance Teams Internal Audit and Risk Teams Senior Management and Board Members DNFBPs and Regulated Entities FinTech Virtual Asset Insurance Broker Financial Services Professionals
Compliance Monitoring and Internal Controls

About this program

To train compliance professionals on developing and executing a compliance monitoring plan, testing controls, identifying gaps, and reporting findings to management.

Program Content

9 outlines
1

Purpose of compliance monitoring

2

Difference between compliance monitoring, internal audit, and quality assurance

3

Risk-based monitoring plan

4

Key compliance testing areas

5

Sampling, review, and evidence collection

6

Identifying breaches, gaps, and control weaknesses

7

Reporting findings and recommendations

8

Corrective action and remediation tracking

9

Practical compliance monitoring plan exercise

Who this program is for

Real Estate
Compliance Officers
MLROs and Deputy MLROs
KYC/CDD Analysts
Front-line and Relationship Management Teams
Customer Support Teams
Operations and Finance Teams
Internal Audit and Risk Teams
Senior Management and Board Members
DNFBPs and Regulated Entities
FinTech
Virtual Asset
Insurance
Broker
Financial Services Professionals
$0.00
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This program includes:

  • Duration: 5
  • 9 Content Outlines
  • 15 Target Audiences

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