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Financial Regulatory and Compliance Online and Classroom Course

By: TSI Limited

Ogun State, Nigeria

04 - 06 Sep, 2024  3 days

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NGN 180,000

Venue: Online and Class room @ 4, Akinpelu Street, Lagos - Ibadan Express Road, Behind ENYO Petrol, Ibafo Bus stop, Ibafo, Ogun State

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
  • Ethics and Corporate Governance
Online and Class room @ 4, Akinpelu Street, Lagos - Ibadan Express Road, Behind ENYO Petrol, Ibafo Bus stop, Ibafo, Ogun State Sep 04 - 06 Sep, 2024
NGN 180,000.00
(Convert Currency)

Prof. Richard Mayungbe +1-646-202-8832, 08033467639, 08023019508

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