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Compliance Officer and MLRO Responsibilities

To provide a focused and practical overview of the responsibilities of Compliance Officers and MLROs, including regulatory liaison, advisory, monitoring, reporting, escalation, and governance duties.

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 Officer and MLRO Responsibilities

About this program

To provide a focused and practical overview of the responsibilities of Compliance Officers and MLROs, including regulatory liaison, advisory, monitoring, reporting, escalation, and governance duties.

Program Content

9 outlines
1

Role of Compliance Officer and MLRO

2

Independence, authority, and reporting lines

3

Regulatory obligations and ongoing responsibilities

4

AML/CFT framework oversight

5

STR/SAR review and reporting obligations

6

Sanctions compliance oversight

7

Compliance monitoring and annual reporting

8

Staff training and awareness responsibilities

9

Practical MLRO decision-making scenarios

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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