About This Course

We offer a full and comprehensive program that integrates international compliance standards
with critical areas of compliance management. Supporting compliance teams providing quality
and precision management is critical to the compliance function.
The course welcomes participants from all industries.
With a thorough and engaging approach, the training supports managers, compliance officers and
other aspiring compliance management team leaders to standards of excellence.
The training has practical and permanent ‘take-away’ value and for use in the organization.

Who Should Attend The Course

Mr. Barrie Moor Principal Engineer at Power System Protection Training, Australia.With 39 year’s experience in the Queensland electricity supply industry, our principal engineer, the seminar author and presenter, Barrie Moor, was involved in the design, coordination and implementation of protection schemes associated with Queensland’s HV and EHV transmission systems since 1981.Barrie also has extensive experience with the protection of large generating plants having had responsibility for the protection of generators at many of Queensland’s major power stations.
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Know About Your Trainer

An internationally established financial crimes expert with 40 years of experience. (Former UK
police officer)
Professor of international law. Investigative psychologist providing forensic case reviews supporting the courts addressing decision-making and complex evidence analysis in fraud, corruption and money laundering investigations. Supporting regulators, law enforcement.

Course Outline:

DAY ONE

Session 1. . ‘Compliance in Action’

  • The upsurge in the regulation of institutions. Case Studies.
  • Compliance Management; ‘awareness v thoroughness’ in explaining risk
  • Internal controls and compliance. Distinctions
  • Examining the effectiveness of methods of measurement
  • Group activities and case study

Session 2. The Compliance Manager

  • Critical skills in strategic management
  • Operations management and compliance
  • Arbitration

Session 3. Roles and Compliance Responsibilities: a new take!

  • ‘Designing out’ pitfalls in compliance management
  • Effciency (in compliance and client management)
  • Group activities and case study

DAY TWO

Session 1. Legal

  • Critical skills in assessing the impacts of ‘compliance-dominant’ legislation
  • A management perspective
  • Legislation: forthcoming changes which will directly aect business and customer risk

Group activities and case study

Session 2. . Risk:

  • Assessing the impact and downside of non-compliance
  • Where to start?
  • When to stop?

Group activities and case study

Session 3. Reporting to the Board

  • How does culture affect compliance?
  • Negotiation skills

DAY THREE

Session 1. Money Laundering, Terrorism Financing.
Advanced Compliance Concepts

  • Common crimes underpinning money laundering
  • The ‘criminal journey’ – from crime to money laundering and its varying criminal result
  • AML in the space of sophisticated investment
  • Sure signs of terrorism funding

Group activities and case study

Session 2. Risk Appraisal ‘Going Digital’

  • Scoping risk in Crypto currencies
  • Compliance process modernization.

Session 3. Managing Reporting Protocols

  • Advising staff on STRs
  • Delegation

DAY FOUR

Session 1. Enhanced Professional Communication Skills

  • Managing ‘difficult conversations’ in compliance and risk issues
  • Advanced Report Writing Skills – the ‘IDEA’ method

Session 2. Governance: applied to the day-to-day operation

  • Avoiding ‘pseudo-stability’
  • Problem solving in compliance scenarios
  • Decision making in situational compliance tasks
  • About delegation

Case study. Presentations

DAY FIVE

Group Interactions and Exercises

  • Assessed Group Exercises
  • Team Presentations

Final Plenary Session

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