Compliance Services Course
What will you learn in this product course?
This "Know Your Customer" (KYC) session introduces you to specific topics regarding financial and insurance marketplace compliance. This session shares important practices as well as practical and effective methods you can implement in your operations to keep your business safe for risk and compliance.
A clear and to-the-facts session will ensure you can quickly learn the regulations, impacts and potential actions to take. This session is designed to introduce the topics and drill deeper into your own organization’s environment. You will come out with a general action plan. The materials help illustrate some typical enterprise scenarios and implementation successes and failures.
Topics covered in this course include:
- Understanding KYC Compliance and relevance to your company needs
- How to effectively understand Customer Identification Program (CIP) and impacts to your company
- The USA PATRIOT ACT along with Customer Due Diligence (CDD) insight
- Discussion on Anti-money Laundering (AML) / Basel committee reports
- Potential critical analysis and determining your best practice for any SEC 17AD-17 regulation compliance.
- Review your Enterprise Data Governance, roles and responsibilities along with:
- Develop best practices
- Develop training program for current postal ops and future clients
- Aid in developing internal data stewards
- Learn about being ACAMS KYC certified
- Spend time to discuss and understand your Operational Processes to support data integrity, data management platform and relationships to the various regulations.
Course Time: Pre-visit call, 1 day on-site (limited to 10 people in attendance) and one follow-up conference call.
About the Instructors:
Our instructors are facilitators trained in bringing to light the operational changes to meet compliance and regulations. With over 20+ years in finance, insurance and regulatory solutions, our team of instructors has established some of the world-class implementations for many of the top financial institutions in the nation.
Being out of compliance can be very costly, learn more here.
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