Anti-Financial Crime for RegTechs

RHT Academy

Anti-Financial Crime for RegTechs

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Purpose of Programme

Gain an understanding of key financial crime risks and where different RegTech products come in.
Understand what compliance officers think about and look for when it comes to risk mitigation and choosing solutions.
Understand the principles of a risk-based approach, due diligence measures, screening, ongoing monitoring and key regulatory considerations for electronic ID&V.

Programme Structure

Module 1: Financial Crime Overview

Financial crime types
Key regulations and industry guidance
The financial crime function

Module 2: Principles of a Risk-Based Approach

Risk-Based Approach
Customer Risk Assessment and Risk Examples
Enterprise-Wide Risk Assessment and Risk Appetite

Module 3: Principles of CDD and eIDV

CDD principles and regulation
Enhanced Due Diligence
Manual and Automated Solutions
eIDV

Module 4: Principles of Screening

Overview of customer screening regulation and key definitions and types of screening
Best practice in screening by type (sanctions, PEPs, watchlist and adverse media)
Approaches to customer screening and core challenges with implementation
Customer screening across different client segments

Module 5: Principles of Ongoing Monitoring

Overview of monitoring and reporting requirements
Decision making and escalations as part of transaction monitoring
Approaches to ongoing monitoring and core challenges with implementation
Information required to meaningfully report financial crime

Module 6: Stakeholder Engagement and Horizon Scanning

Stakeholder engagement tips
Horizon scanning

Learning Objectives and Outcomes

Understand the different financial crime types including money laundering, terrorist financing, fraud, bribery and corruption, sanctions evasion, market manipulation and cybercrime and what impact they may have on RegTech customers.
Understand where RegTechs fit into the anti-financial crime landscape and how they can help their customers manage risk and meet regulatory expectations.
Understand what the fincrime function is at a firm and who makes decisions when it comes to choosing third party technology solutions.
Understand what eIDV is and the associated risks with non face-to-face onboarding.
Understand what a risk based approach is and how RegTech customers apply this.
Understand the principles of a risk based approach, screening, eIDV, due diligence and ongoing monitoring.

Course Dates

12 October 2022

Course Fee

S$750 per pax

About the Trainer

Sara Abbasi

Sara has over 6 years experience working in FCC roles across a range of financial products including FX and payments, Private Banking, Corporate and Investment Banking (ex Credit Suisse, CurrencyCloud). She is also experienced in Financial Crime Operations, Transaction Monitoring, SAR reporting and Anti-Money Laundering investigations. Sara has over 3 years experience training range of financial services businesses on antifinancial crime (AFC) training and agile project delivery. She has worked with a range of financial institutions designing AFC frameworks for emerging products, testing and implementation of third party AFC solutions, and conducting audits on financial crime control frameworks. She is a graduate of BA War Studies; combines an academic background in geopolitics with professional experience in financial crime compliance.

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Date And Time

2022 Oct 12
 

Registration End Date

2022 Oct 11
 

Location

Online Event
 

Event Types

 

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