Audit and Compliance (C6049)

À qui s'adresse la formation?

Professionals in the financial sector, or interested to work in the financial sector; willing to know how to design and implement a proper enterprise risk management system with a focus on governance, and key internal control functions approach and tools.

Durée

25,00 heure(s)

Langues(s) de prestation

Prochaine session

Contacter l'organisme

Prérequis

None. However it is recommended to have good knowledge of any kind of legislative module.

Objectifs

Comply with the key rules of a proper enterprise governance.
Comply with the international standards in matter of risk assessment.
Know how to implement a proper enterprise risk management system.
Develop key tools for a tailored-made a risk based approach.
Know how to design and communicate a control program.
Compliancewith the EU AML/CTF requirements as transposed in Luxembourg.
Design an internal audit strategy to check the effectiveness of the before mentioned compliance.

Contenu

Introduction to the key principles for a proper and sound enterprise governance.
Introduction to the internal control system and its key functions.
Introduction to the international standards in matter of the enterprise risk management framework.
Introduction to a risk mapping model.
How to design a proper methodology of risk assessment.
How to develop a tailored-made risk approach.
How to develop a proper strategy of control and design a monitoring plan.
How to design an efficient testing/control.
How to communicate the results of the monitoring plan.
Practical case.