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Banks Internal Control and Compliance

By: TSI Limited

Lagos State, Nigeria

24 - 26 Sep, 2018  3 days

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NGN 180,000

This training course aims to provide a complete overview of a bank's internal controls and compliance activities. Alternation between theoretical notions and practical simulations aims to provide a hands-on knowledge of the training course elements

 Learning Objectives:

At the end of this session, participants will be able to:

  • Handle the intricacies of bank internal control and regulatory compliance in order to avoid sanctions, financial and reputational losses.

Course Outline

  • Regulatory framework and conditions of practice
    • Internal controls requirements
    • Internal controls system : risk mapping, distinction between continuous control and periodical controls
    • Compliance : definition, scope, links with other control departments
  • Application : comparative analysis of the internal controls organization and the compliance departments of several major banks
  • Auditing - strategy, procedures, results
    • Elaboration of an audit program
    • Drafting the audit questionnaire
    • Conducting interviews and validation tests
    • Drafting the audit report
  • Application : analysis of an audit report on a compliance department
  • Banking operation cycles
    • Means of payment
    • Credits and liabilities
    • Client deposits
  • Financial operation cycles and cross-department activities
    • Market operators : front office, middle office, back office
    • Other financial operations : operations for own account, operations for clients
    • Support departments : legal, human resources, communication, marketing
4, Akinpelu Street, Lagos-Ibadan Express Road, Behind Femak Petrol Station, Ibafo Bus stop, Ibafo, Ogun State Sep 24 - 26 Sep, 2018
NGN 180,000.00
(Convert Currency)

+1-646-202-8832, 08033467639, 08023019508

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