Project Description

The course aims to offer a specialization for 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, with a focus on improving their performance.

At the end of the course, participants will have the ability to:

Define and establish the need for a Compliance Department

Avoid personal responsibilities: duties and obligations of “top 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 Compliance standards to Commercial Banking

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

Compliance with operational procedures

Suitable for conducting internal investigations and streamlining the maintenance and improvement of the program

Negotiation with shareholders in the event of an internal investigation

Avoid money laundering through Compliance

Assess the impact of the Board of Directors and the Chief Executive Officer on the Compliance culture

Transforming Compliance into a competitive advantage


The culture of compliance, the advantages and the challenges:

  • Roles and responsibilities
  • Relationship with other areas
  • Management responsibility and Compliance risks

Compliance Policies – The Importance of Policies:

  • The Code of Conduct and Ethics and Conflicts of Interest
  • Information confidentiality and information barriers
  • Separation of functions
  • Personal investments
  • Control Lists and Insider Trading
  • Gifts and entertainment
  • Employees with a degree of kinship and Relationship with public officials
  • Communication with the press and public and advertising material
  • Communications via electronic and social networks
  • Mobile phones and phone tapes
  • External activities and Business Continuity Plan

Prevention of money laundering:

  • Concepts: history and current panorama
  • Money laundering and terrorist financing
  • The importance of communications
  • Administrative liability: sanctions provided for by law

Prevention policies

  • Identification of PEP customers
  • Know your customer (KYC)
  • Meet your correspondent bank abroad
  • Know your supplier
  • Know your employee

Corruption and anti-corruption programs:

  • International legislation
  • Corruption: specific compliance risk
  • Anti-corruption program guidelines
  • Corporate scandals and their legal impacts and prevention initiatives

How to implement a Compliance Program:

  • Testing and monitoring
  • Treaties and conventions
  • Elements and guidelines of a Compliance and Ethics program (PCE)
  • Criteria and metrics for evaluation of PCE
  • Growth objectives
  • Signs of PCE failures
  • Review and update policies and procedures
  • The importance of publicizing the evolution of the PCE
  • Communication
  • Promote transparency
  • Incentives and sanctions

Course Recipients

The course was 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 directors of compliance consultants, financial supervisors, risk managers, auditors, internal and external financial agents, money laundering reporters, administrators, financial advisers, roc’s, legal directors, lawyers.

5 Days

30 Hours