Audit and Compliance (C6049)

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.

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

• Comply with the ESMA’s issued Guidelines on the compliance function and the Basel Committee on Banking Supervision’s Principles for Enhancing Corporate Governance in matters internal Audit.
• Comply with the international standards in matter of risk assessment. Basel Committee on Banking Supervisions’ operational risk approach, European Systemic Risk Board (ESRB) Handbook on how to cope with systemic risk.
• 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.

• Compliance with the EU AML/CTF requirements as transposed in Luxembourg, as well ancillary the EU Directive guaranteeing the protection of whistleblowers and the recent EU Taxonomy in matters of sustainable finance ESG.
• Design an internal audit strategy to check the effectiveness of the before mentioned compliance.

Le contenu est identique aux objectifs d'apprentissage pour cette formation.