compliance courses virtual learning presented …...compliance and risk management of...
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Click on the course titles below to read the full course outlines
https://redcliffetraining.com/ [email protected]
+44 (0)20 7387 4484
COMPLIANCE COURSES
Virtual Learning Presented
as a Live Webinar
Click on the course titles below to read the full course outlines
https://redcliffetraining.com/ [email protected]
+44 (0)20 7387 4484
PUBLIC LIVE WEBINARS
At Redcliffe Training, we pride ourselves on understanding the needs of our global clients, that’s why we offer almost all of our courses via live webinars. So, no matter what the situation, all training
needs can be met.
The webinar platform that we use is a user-friendly platform and can be accessed on a pc, laptop, tablet or smartphone. It is a virtual classroom that allows interaction with the trainer.
Please note that the below courses can also be tailored and presented exclusively for your company.
Public Live Webinars
Course
Duration
Summary
Advanced Sanctions Risk
8-9 March 2021 | 15-16 September 2021
2 x 0.5
Days
The course is designed to improve participants’
awareness and knowledge of sanctions risks in banks
and financial institutions. It focuses on some of the most
significant control issues and how best to approach the
development of a sanctions risk management
framework.
Conflicts Of Interest - A Practical Guide
& Workshop - A One-Day Live Webinar
30 September
1 Day
It is the very culture of a firm that makes Conflicts of
Interest manageable or not. The accurate identification
and reliable assessment of the potential impact, along
with defined and practical procedures to follow, make
conflicts of interest management effective, fair and
compliant.
Delivering Effective Compliance Reports
14 October
0.5 Days
This course provides a detailed introduction on how best
to design and deliver compliance monitoring reports.
While structuring the report is hugely important, the
thought around the end to end can make the difference
between a great report that goes nowhere and a great
report.
Derivatives & ISDA®
12-13 October
2 x 0.5
Days
This course provides full coverage of the important
aspects of derivatives trading
FCA CASS Rules - The Revised Auditing
Standard & SMCR Responsibilities
26 November
0.5 Days This course considers the changed environment and how
our control frameworks must adapt to remain compliant.
FCA Compliant Complaints Handling – A
Practitioner’s Guide
Dates TBA
1 Day
The session is designed for those working in UK
regulated firms and subject to the FCA rules. Beyond
that, the session will add value for anyone in either the
first or second line responsible for dealing with,
managing or responding to complaints including
assessing the overall framework.
FCA Conduct of Business Rules – A
Practitioners Guide to “COBS”
2 x 0.5
Days This course looks to wrap into a single day, a practical
and jargon-busting overview of all the most commonly
Click on the course titles below to read the full course outlines
http://redcliffetraining.com [email protected]
+44 (0)20 7387 4484
22-23 February 2021 experienced and most commonly misunderstood
requirements from the COBS rulebook.
Financial Promotions - Suitable For All
Regulated Firms
12 October
1 Day
This Financial Promotions course provides participants
with a comprehensive overview of the FCA approach and
how it applies in practice.
Managing Sanctions Screening &
Compliance – Suitable for all institutions
with AML responsibilities
29 October
1 Day
This Managing Sanctions Screening & Compliance course
considers sanctions risks fully, shows how these risks
can be managed effectively and sets out in very clear
terms the control framework needed to manage the risks
involved.
MiFID II Knowledge and Competency
23-24 November
2 x 0.5
Days
This course is ideal for those who do not hold an
industry qualification covering the necessary knowledge
and competence requirements but are required to do so.
MiFID II Product Governance
7 May 2021 | 10 September 2021
0.5 Days
In this course we will identify the changes firms need to
make to their existing Product Governance frameworks,
including where other aspects of MiFID II should be
considered.
Roles and Responsibilities of the Money
Laundering Reporting Officer (MLRO)
4 November
1 Day
This highly interactive one day workshop is designed to
explain fully the roles and responsibilities of an MLRO. It
includes a number of interesting case studies based on
real-life examples.
Suspicious Activity Reports
15-16 February 2021
19-20 July 2021
2 x 0.5
Days
This highly interactive training session has been
prepared for the financial services industry generally and
is suitable for all financial institutions with AML
obligations and who may deal with SARs and its
accompanying challenges.
Vulnerable Customers
27 November 1 Day
The course helps participants to understand what
vulnerability is, how it needs to be addressed and the
steps they need to take to build these approaches into a
practical and sustainable operating model.
Click on the course titles below to read the full course outlines
http://redcliffetraining.com [email protected]
+44 (0)20 7387 4484
IN-HOUSE WEBINARS
Please find below a list of all of our Compliance courses that can be presented exclusively
for your company via Live Webinar. Please note that sections from the course outlines
can be expanded or deleted to suit the client’s bespoke requirements.
Other Compliance Courses
Course
Duration
Summary
A Comprehensive Guide To UK Financial
Services Regulation and Compliance 1 Day
This interactive workshop-style course has been
designed to give either a comprehensive introduction or
a comprehensive refresher of the UK Regulatory
framework.
A Practical Approach to Complaint
Handling 1 Day
This course will provide participants with the key skills,
abilities and confidence required to improve their
handling of customer complaints, both verbal and
written, with the goal of reaching a satisfactory solution
that increases customer retention and loyalty.
Advanced Chief Risk Officer Programme 5 Days
This course is designed by and for CROs in the real
world. It enables delegates who have not done the job
before to be good, effective CROs, and to make those
who have into better performers.
AML & FCC Graduate/New Entrant
Programme – Suitable for all institutions
with AML responsibilities 1 Day
This workshop-style, highly interactive course describes
what “good” looks like, how to achieve it and how to
understand why it is such an important feature of
corporate governance.
AML Investigations 1 Day
This course considers the challenge of AML investigations
and how to meet them. It is based around two large
case studies which will enhance the learning experience.
AML/FCC Escalation & Suspicion
Reporting Workshop 1 Day
Escalations are the critical early warning signs of an
effective AML regime and if done properly will lead to an
effective and robust policy. This workshop-style course
describes what “good” looks like and how to achieve it.
Anti Bribery & Corruption 1 Day
This course provides a comprehensive overview of the
principal issues relating to the prevention of bribery and
corruption.
Asset Liability Management Optimization
– Part 1
Asset Liability Management Optimization
– Part 2
0.5 Days
Each
This course provides participants with a well-rounded
understanding of the best practices to modern ALM and
balance sheet management and will be able to depict
elements to enhancing their own institutional practices
to achieve higher efficacy and effectiveness of bank
balance sheet management.
Asset Management Regulation 1 Day This course is designed to give participants an in-depth
understanding of the Regulatory environment
surrounding the new globally distributed UCITS brand
Click on the course titles below to read the full course outlines
http://redcliffetraining.com [email protected]
+44 (0)20 7387 4484
and investments which are sold to professional
investors, AIFMD.
Bank Capital Adequacy under Basel III 2 Days
This training course provides a comprehensive overview
of not only what the past, present and likely future rules
are, and how they apply to different institutions, but also
what their underlying purpose is, why they have evolved
in the way they have, and how banks can adopt optimal
strategies to maximise their profits and minimise risk
whilst at the same time staying fully compliant with the
spirit and the letter of the rules.
Basel & CRD III & IV Workshop 2 Days
This workshop is designed to help financial institutions
get to grips with these complex prudential rules and
which aspects of the directive are likely to affect their
organisations in the future.
Basel III/IV Regulatory Requirements 1 Day
This is an ideal workshop for newcomers or experienced
practitioners seeking a refresher. In this course long
case study is used to illustrate the learning points and
the specific impact of the measures on banking business.
Client Onboarding & Risk Based CDD
Workshop 1 Day
This course provides an understanding on how to
complete an initial risk assessment and appreciate the
key features of a risk-based approach and how it works.
Compliance and Risk Management of
Cryptocurrencies, Blockchain and ICO’s 1 Day
This course considers the compliance and other risks in
detail. It starts from first principles by establishing a
basic understanding of cryptocurrencies, Blockchain and
ICO’s. It then considers the risks in more detail and how
to manage and mitigate them.
Conduct & Culture Workshop 1 Day
This workshop considers the challenges of defining and
managing both conduct risk and culture and how to
achieve the appropriate balance between the two in
practice.
Conduct Risk Workshop 1 Day
This workshop considers the challenges of defining and
managing conduct risk and how to meet the regulatory
expectations.
Customer Due Diligence for Lawyers –
Part 1
Customer Due Diligence for Lawyers –
Part 2
0.5 Days
Each
These webinars provide you with a holistic look at the
CDD environment that a legal professional operates in.
You will understand the requirements of the rules and
what they are designed to achieve, as well as the
practicalities of implementing a robust framework.
Customer Due Diligence Masterclass 1 Day
The course is designed to ensure that financial crime risk
professionals acquire the knowledge necessary to
efficiently and effectively manage money laundering, tax
evasion and financial crime risks within their
organisations.
Cybercrime: An Overview for Non-IT
Specialists 1 Day
This workshop-style course considers the topic from the
viewpoint of a non-Fintech specialist risk manager
responsible for this area of financial crime and who is
dealing with Fintech colleagues as part of the process.
Click on the course titles below to read the full course outlines
http://redcliffetraining.com [email protected]
+44 (0)20 7387 4484
Designing Compliant Conduct Rules 2 Hours
This course provides an understanding of what it is you
need to do and how you can embed that into existing
governance processes.
Demystifying Cyber 1 Day
This course aims to demystify cyber for senior players,
talking about it in plain English, constantly focusing on
the business rather than the technical perspectives.
EU Agricultural Policy Reform 1 Day Analyse the potential impact of the proposed reforms on
different sectors of the EU economy and outside the EU
Financial Crime and Compliance
Masterclass Including CTF & AML 2 Days
A practical two-day workshop suitable for banks and
other financial institutions
Financial Crime for Corporate Banking &
Markets 1 Day
A 1-day live webinar designed to improve participants’
awareness and knowledge of financial crime risks in the
corporate banking and markets activities of banks and
other financial institutions.
Financial Crime for Treasury & Financial
Markets 1 Day
The course is designed to improve participants’
awareness and knowledge of financial crime risks in the
treasury and capital markets business of banks and
other financial institutions.
Financial Crime Risk Management 2 Days
The course is designed to ensure that financial crime risk
professionals acquire the knowledge necessary to
efficiently and effectively manage money laundering, tax
evasion and sanctions risks within their organisations.
Fraud Detection - Building Advance
Commercial Sense 1 Day
This course will provide bankers with an insight on how
to secure fraud risk and detect it in the initial stages
itself.
Fraud Including Credit Card and
Suspicious Transactions 1 Day
This course is suitable for junior, middle or senior
managers working in Fraud management, requiring
knowledge of fraud risk management to build or make
more robust prevention measures or having a specific
special interest in fraud risk.
Fraud Prevention for ABL 0.5 Days
This interactive webinar provides you with a holistic look
at the fraud risks within asset-based lending, focusing
on how business can perpetrate fraud and the associated
consequences for the lending relationship.
Fundamentals of Financial Crime Risk for
Auditors and Risk Professionals 2 Days
The course is designed to ensure that auditors and other
risk professionals acquire the knowledge necessary of
efficiently and effectively contributing to the
management of financial crime risks within their
organisations.
GDPR Training Course 3 Days This GDPR training course covers the key elements of
the General Data Protection Regulation – GDPR.
International Anti-Bribery & Corruption
(AB&C) Compliance 2 Days
This training course will bring the basic concepts of
bribery and corruption ("B&C") as an international
phenomenon, including the differentiation between these
two terms and some statistics about B&C around the
world - like the Transparency International's CPI, for
example.
Click on the course titles below to read the full course outlines
http://redcliffetraining.com [email protected]
+44 (0)20 7387 4484
Managing & Improving Both Conduct
Risk & Culture
1 Day
This workshop considers the challenges of defining and
managing both conduct risk and culture and how to
achieve the appropriate balance between the two in
practice.
Managing & Preventing Fraud in
Financial Services Workshop 1 Day
This course provides a refresher on the provisions of
both the Theft Act 1968 and the Fraud Act 2006 before
linking these events with the wider risks faced by firms
including, reporting requirements, data security and
identity theft and the corporate offences firms may
commit when targeted by fraudsters.
Managing AML & CTF Typologies & Red
Flags – Suitable for all Institutions with
AML Responsibilities 1 Day
This workshop-style, highly interactive course describes
both the risks and mitigants in detail and what “good”
looks like and how to achieve it.
Managing the Risk & Compliance
Challenges Posed by Cryptocurrencies,
Blockchain and ICOs – A Practitioner’s
Guide
1 Day This highly interactive workshop-style course considers
the compliance and other risks in detail.
Managing the Risks of Cybercrime & Its
Impact on Financial Services 1 Day
This course provides an overview of the motives and
methods driving the continuing increase in cybercrime
and the tactics deployed by firms to frustrate them.
Market Abuse Regulation – Update 0.5 Day
This course examines requirements of the new MAR, its
technical standards and its guidelines and the changes
this has brought to the UK market abuse regime and to
rules for Official List and AIM companies.
Market Abuse Workshop 0.5 Day Examine the full landscape of market abuse; what it is,
what it means and why it matters.
MiFID II Workshop for Funds 0.5 Day
A concise workshop that covers all key facets of MiFID
II. This workshop allows you to close out your
knowledge gaps and hear from other participants on
common themes.
Preparing for IBOR Transition: What
Should Firms Do 1 Day
With the major IBORs such as LIBOR, EURIBOR and
EONIA due to be phased out by the end of 2021, there is
a need to understand how this will affect banks,
investment managers, insurers, corporates, borrowers
etc. and how to best prepare them for such an
unprecedented change.
MLR2017 1 Day A one day workshop for all institutions required to
implement AML controls based on this legislation
Regulation & Compliance of Crypto
Assets & ICOs for Non IT Specialists 1 Day
Explores the different components of an ICO and how
they are being regulated and what is likely to happen
going forward.
Risk & Capital Management Under Basel
III and IFRS 9 5 Days
A detailed look at the ever-changing landscape of Risk &
Capital Management.
Risk Based Compliance Monitoring
Programme 1 Day
A risk-based compliance monitoring program will assist
you in identifying, managing, monitoring, and reducing
the compliance risks key to your business and make
board and regulatory reporting easier to conduct and
maintain with less work.
Click on the course titles below to read the full course outlines
http://redcliffetraining.com [email protected]
+44 (0)20 7387 4484
Role of the Compliance Officer 1 Day
This course will provide participants with the key skills,
abilities and confidence required to improve their
handling of customer complaints, both verbal and
written, with the goal of reaching a satisfactory solution
that increases customer retention and loyalty.
Senior Managers & Certification Regime
(SMCR) Workshop 0.5 Days
This course helps participants too know and understand
the key employee categorisations within your firm,
SMFs, CP, non-approved and ancillary.
Senior Managers & Certification Regime
and Its Impact on Training &
Competence Obligations
1 Day
This course will cover all the obligations relating to the
Senior Persons Regime and those for competence,
including ideas on how to devise an effective T&C
regime, and how to assess competence and ensure it is
maintained.
SFTR Transaction Reporting - A Practical
Guide 0.5 Day
SFT Reporting has been planned since 2014 and the
Regulatory Technical Standards were issued in March
2019 for implementation on April 11th 2020.
Solvency II - Risk Management
Strategies for Insurance Businesses 2 Days
Explore and explain the main principles of the new
procedures that came into effect in January 2016 across
Europe.
Structured Products & Securitisation 1 Day
This is the only course on the market that covers not
only the various types of structured products and the
regulatory aspects of structured finance as a whole but
also covers the calculations and review of term sheets
for exotic products, all in one day.
Suitability & Appropriateness 1 Day
Consumer protection is one of the regulator’s top
priorities. An increased focus on the suitability of
investment advice and the appropriateness of products
or services are key components.
The Board & Corporate Governance 1 Day
Build the trust, transparency and accountability
necessary for fostering long-term investment, financial
stability and business integrity to support stronger
growth and more inclusive societies.
The Latest Basel IV Regulatory
Requirements 1 Day
This session provides participants with a detailed tour
and review of the Basel accords issued by the Bank for
International Settlement (BIS) and the ever-evolving
regulation stemming from Basel II and Basel III
proposals and the Capital Requirements Directive IV
(CRD IV) in Europe.
The Role of the Chief Risk Officer - A
Practitioners' Guide 1 Day
This highly interactive workshop considers the real life
challenges of being a good CRO and how to achieve the
appropriate blend of diplomatic and vocational skills to
succeed in the role
Trade Based Money Laundering (TBML)
and Sanctions Compliance 1 Day
Through attending this course participants will be able to
identify compliance risk features in core product areas
and key aspects from an audit and compliance risk
perspective.
Treating Customers Fairly 0.5 Days
This course helps participants gain an understanding of
the rationale behind the regulatory requirements and
appreciate why some customers need a little more care
than others.
Click on the course titles below to read the full course outlines
http://redcliffetraining.com [email protected]
+44 (0)20 7387 4484
https://redcliffetraining.com/ [email protected]
+44 (0)20 7387 4484
OUR DELIVERY METHODS
VIRTUAL LEARNING PRESENTED
AS A LIVE WEBINAR
We deliver public courses via live webinar
throughout the year. It is a virtual classroom
that allows interaction with the trainer.
Click here to discover our extensive list of
publicly scheduled webinars
IN-HOUSE LIVE WEBINARS
Our courses can be tailored and presented
exclusively via live webinar for your company for a
group of participants.
Participants are given a link and login and the
trainer presents the course to a maximum of 20
participants.
They will have live access to the trainer to ask
questions as the course is delivered
The timings of the webinar would be discussed and
organised to suit your group and the trainer.
Participants can log in from different offices.
PRE-RECORDED WEBINAR
The trainer records the course exclusively for your
company – in one session or in “bite-size” video files.
We will edit and finesse the files, convert them to
enable housing on your LMS and we will provide all
supporting course materials for an agreed amount of
time (6 or 12 months) for between 100 - 5,000
participants.
http://redcliffetraining.com [email protected]
+44 (0)20 7387 4484
ABOUT OUR COMPLIANCE TRAINERS
They are all highly experienced former practitioners and trainers, and they teach from their own experiences.
Our trainers all have a proven track record of teaching large & small groups of participants at the leading investment banks, asset managers,
accountancy firms, law firms, retail & corporate banks and private equity firms across the globe.
Trainer 1: Is an investment banking governance, audit, risk and compliance specialists who has extensive international experience. He holds an MBA from
CASS Business School, London and is a Chartered Certified Accountant.
He worked for Price Waterhouse in Kingston, Jamaica prior to arriving in London just after Big Bang in 1986 and subsequently worked for a number of major institutions including Manufacturers Hanover Trust, Continental Bank, CIBC and
ABN AMRO. His roles have included internal audit, product control, risk management and SOX.
In addition to gaining experience in the major global financial centres the above roles covered all aspects of regulation, governance and internal controls over the
origination, sales and trading of a broad range of investment banking and capital market products. These products include: credit trading and credit derivatives;
asset securitisation and structured finance; foreign exchange and foreign exchange options; interest rate derivatives; commodities and treasury.
He has also served as a business manager where he played a leading role in the development and implementation of major strategic initiatives within global
banking and markets. This was followed by the delivery of a training and cultural change programme in alignment with that strategy, across 50 countries.
He is currently focuses on delivering financial crime courses for major banks (HSBC, Soc Gen, RBS, Lloyds, Nordea and Handelsbanken) covering AML,
Sanctions, Bribery & Corruption, as well as their related governance aspects. This delivery encompassed frontline staff and senior managers across global, private, corporate and retail banking in the UK, Europe, Asia, Middle East, Africa, US and
the Americas.
Trainer 2: Has over 20 years training experience in financial services. He is well placed to support you across a range of compliance-related topics. He is a former Head of Education for HSBC covering the UK and Europe, responsible for
regulatory and financial crime related compliance learning. His time at HSBC was during intense scrutiny from regulators and government functions during the
bank’s Deferred Prosecution Agreement.
Other roles include leading the Monitoring and Testing programme for a UK Wealth Manager, and Senior Vice President responsible for Global Risk & Compliance training at a US-based bank. He also worked in the Insurance Firms division at
the Financial Conduct Authority (in the FSA days) where he was the divisional expert for the rules and outcomes required under the Training & Competence
handbook.
http://redcliffetraining.com [email protected]
+44 (0)20 7387 4484
The HSBC role, along with five years at Barclays in their Private Clients and Wealth
functions, has seen Stephen work with retail, commercial, wholesale and private banking channels. Since leaving HSBC, he has worked with the compliance, HR and operational teams of firms to enhance their regulatory understanding, as well
as delivering content across private equity firms, investment houses, banks and wealth managers. Stephen regularly delivers core programmes for TISA and the
Investment Association. He is a former member of the Investment Management Association Training &
Education Committee and won the Thomson Reuters award for “Most Effective Compliance Training at a Regulated Firm” in 2010.
Trainer 3: He had a highly successful, long and varied “fast track” career in risk
management and compliance at Lloyds Bank that led him to very senior management at an early age. He was then “head hunted” to join a merchant bank to head the risk function at main board director level. He now has over 40 years’
experience in the UK banking and financial services sector.
He has been a freelance Compliance, FCC & AML training consultant since retiring and is currently an external Master Trainer at both HSBC and Bank of China. At HSBC he has been a leading member of their global FCC & AML training
programme which is now entering its sixth year. He has created and delivered training to a vast range of clients, from global giants to small firms and
partnerships. He is an accomplished global trainer and has delivered extensive programmes in the UK, USA, South America, Europe, Africa, Asia and the Middle East.
He is a highly adaptive, hands-on and highly sought after facilitator who always
receives excellent feedback from delegates.
https://redcliffetraining.com/ [email protected]
+44 (0)20 7387 4484
TESTIMONIALS
‘The course content was delivered as expected.
Trainer was knowledgeable and dynamic,
adjusting certain specifics accordingly to the skill
sets of each individual attendee.’
‘Excellent communication prior to and after the
training course. The trainer was knowledgeable
on the topics, was interesting and clear. The
training materials were useful and meant I didn't
need to take a lot of notes. Further materials
were provided after the course’
‘The training was extremely well presented and
the trainer took the time to adapt the
presentation to what he thought the needs of the
attendees were, which was spot on. Also a very
nice person to speak with and he had a lot of
interesting experiences to share with us’
‘The trainer was very helpful and he managed to
explain more than the material covered. He also
gave us clear guidance and support on all matters
we inquired about.’
The Redcliffe team we dealt with were fabulous!
Very helpful and professional at all times. We can
highly recommend their services.
Received good feedback from the delegates about
Mark's knowledge and experience within financial
services. This made him very relatable
http://redcliffetraining.com [email protected]
+44 (0)20 7387 4484
Our Corporate Membership Schemes are not valid on any bespoke, client delivered live
webinars held on a private basis and are in line with our standard Terms & Conditions
If you would like to enquire about one of our Corporate Membership Schemes
then please call or email us for more information.
Email: [email protected] Tel: +44 (0)20 7387 4484
Our Corporate Membership Scheme gives clients the benefit of
discounted live webinar course places with absolutely no restrictions.
Clients pay an annual subscription fee of £595 + VAT to receive 25%
discount on all public live webinars irrespective of the numbers booked.
You Corporate Membership Scheme can be used once payment is
received and will be valid for one year.