The course aims to offer a specialization to professionals in general, who directly or indirectly, work with the legal department. In this way, the program will contribute to the training of these professionals, focusing on improving their performance.

At the end of the course the students were able to:

  • Define and establish the need for a Compliance Department

  • Avoid personal responsibilities: duties and obligations of “high management agents”

  • Define risk profiles among employees

  • Manage legal issues in Compliance and Detect alarm and protection mechanisms

  • Establish the fundamental elements of a Compliance program

  • Apply the standards of Compliance to Commercial Banking

  • Measure the effectiveness of a Compliance program and Systematize Critical Compliance Indicators

  • Encompassing Compliance in operational procedures

  • Adequate the conduct of internal investigations and Ralizar the maintenance and improvement of the program

  • Dealing with shareholders in case of internal investigation

  • Avoiding Money Laundering through Compliance

  • Evaluate the impact of the Board of Directors and the General Director in the Compliance culture

  • Transforming Compliance into a competitive advantage


  • The Compliance culture, the advantages and challenges:
      Roles and responsibilities
      Relationship with other areas
      The responsibility of the administrators and the risks of Compliance
  • Compliance Policies – the Importance of Policies:
      The Code of Conduct and Ethics and Conflicts of Interest
      Confidentiality of information and Information barriers
      Segregation of functions
      Personal Investments
      Control lists and Insider Trading
      Gifts, gifts and entertainment
      Employees with degree of kinship and Relationship with civil servants
      Communication with the press and Public and advertising material
      Communications through electronic and social networks
      Mobile phones and telephone tapes
      External activities and Business Continuity Plan
  • Prevention of Money Laundering:
      Concepts: History and Current Panorama
      Money Laundering and Financing of Terrorism
      The importance of communications
      Administrative liability: penalties provided for by law
      Prevention policies
      Identification of PEP clients
      Know your customer/Know your customer (KYC)
      Know your correspondent bank abroad
      Know your supplier/Know your supplier
      Meet your employee/Know your employee
  • Corruption and anti-corruption programs:
      International legislation
      Corruption: Specific Risk of Compliance
      Anti-corruption program guidelines
      Corporate scandals and their legal impacts and prevention initiatives
  • How to implement a Compliance Program:
      Monitoring and testing
      Treaties and conventions
      Elements and guidelines of a Compliance and Ethics (PCE) program
      Criteria and metrics for evaluation of PCE
      Growth goals
      Signals of PCE failures
      Review and update policies and procedures
      The importance of disseminating the evolution of PCE
      Promoting transparency
      Incentives and sanctions

Course Recipients:

The course is designed for those who want to improve and update their knowledge of Compliance and AML policies in a simple, practical and timely approach. Financial sector employees with legal or commercial functions, such as Compliance officer directors, financial supervisors, risk managers, audit directors, auditors, internal and external financial officers, money laundering reporting officers, administrators, financial advisors , roc’s, legal directors, lawyers.

  • 30 Hours

  • 5 Days

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