ICA Open Day Pekka Dare Director of Education and Training - - PowerPoint PPT Presentation

Welcome to the ICA Open Day

Pekka Dare

Director of Education and Training

Jonathan Bowdler

Head of Regulatory Compliance

• View your personal Agenda
• View Speaker lists
• View Useful Event Information
• Post on the Activity Feed

WiFi: hte WiFi Passcode: venues

URL: icabriefings2018.com

Objectives of the day

1) What qualification shall I do? 2) What level is right for me? 3) What will the impact be on my career? 4) What are my next steps?

What shall I study?

• What’s my current role?
• What’s my aspirational role?
• What is my experience, where should I start?

New Entrant/

• perations

Analyst/officer Manager/ Senior Manager Senior Manager/ Director Certificate Advanced Certificate Diploma PPG Dip Affiliate Associate (AICA)

• Prof. Member

(MICA) Fellow (FICA) Understanding Doing Managing Leading

Your learning experience

Course format

Level 2 Certificate qualification (3 months) Level 4 Advanced Certificate qualification (6 months) Level 6 Diploma qualification (9 months) Level 7 Professional Postgraduate qualification (6 months) Online Two workshops or virtual classrooms Four workshops or virtual classrooms Two residential weekend workshops 25 multiple-choice questions completed

• nline

Two 2500 word assignments Three 3500 word assignments Eight 1000 word masterclass commentaries 3 hours for CDD examination (exam only) 2-3 hour competency- based oral interview

How do I study?

Self study Workshops

Assignment(s) End of course examination (certain courses only)

Tutor Support

Virtual classrooms

FCC

Financial Crime Compliance qualification framework

ICA Professional Postgraduate Diploma in Financial Crime Compliance

ICA Diploma in Financial Crime Prevention ICA International Diploma in Anti Money Laundering ICA Advanced Certificate in Managing Fraud ICA International Advanced Certificate in Anti Money Laundering ICA Advanced Certificate in Practical Customer Due Diligence ICA Advanced Certificate in Managing Sanctions Risk ICA Certificate in Financial Crime Prevention ICA Certificate in Managing Sanctions Risk ICA Certificate in Anti Money Laundering ICA Certificate in KYC and CDD ICA Specialist Certificate in Managing Financial Crime in Global Banking & Markets ICA Specialist Certificate in Combating Financing

• f Terrorism

ICA Specialist Certificate in Money Laundering Risk in Private Banking ICA Specialist Certificate in Trade Based Money Laundering ICA Specialist Certificate in Managing Financial Crime in Mobile Financial Services ICA Specialist Certificate in Money Laundering Risk in Correspondent Banking ICA Specialist Certificate in Money Laundering Risk in Betting and Gaming ICA Specialist Certificate in Anti- Corruption

The CDD Process

US Sanctions

• Jurisdictional Reach
• What is a US Nexus?
• Secondary Sanctions
• US Persons?

US Global Reach

• US Dollars
• Anti- facilitation – Use of US infrastructure
• Cloud computing
• Global accounting systems and databases
• General Licence H
• State Level Sanctions

Practical skills

Regulatory Compliance qualification framework ICA Professional Postgraduate Diploma in Governance, Risk and Compliance

ICA International Diploma in Governance, Risk and Compliance

ICA International Advanced Certificate in Regulatory Compliance ICA Advanced Certificate in Business Compliance ICA Advanced Certificate in Legal Compliance ICA Certificate in Compliance ICA Specialist Certificate in Conduct Risk

Exercise one

• Design a one page hand-out that summarises

the complete UK financial services regulatory landscape as it stands now

• This structure should contain more than

simply the regulators, it should reflect as full a picture of the main influences in the UK today as possible on one side of paper

Interactive workshops

Assignment question example

Produce a paper to present to the Board of a regulated firm in a jurisdiction and sector of your choice. The paper should consider how the current economic and political environment, together with increased political and media focus, is currently impacting upon Governance, Risk and Compliance (GRC) issues for your chosen firm. Your answer should be supported by relevant examples and include coverage of, but not be limited to, topics such as the following;

• how the regulatory environment has changed over the last 5 years
• current regulatory developments and hot topics
• known and potential future regulatory developments
• Impact upon the structure, strategy and objectives of the GRC functions in the

firm

• current and potential barriers to effective regulatory risk management in the

firm

• consequent opportunities and threats to the firm.

Total 100 marks

You

Regulators

AMBS

Recruiters

UK Finance

National Occupational Standards of Competence

designations

We keep you current

Your professional community

ICA’s 11th Annual Conference:

The BIG Compliance Conversation

11 April 2019, Central London

Accessibility

• Online and virtual courses
• Face-to-face courses
• Apprenticeship scheme
• The risk compliance officer (L3) standard – Certificates, Specialist

Certificates and the Advanced Certificate in Compliance

• The senior risk compliance officer (L6) standard – Advanced Certificate in

AML, Advanced Certificate in FCP, Advanced Certificate in CDD, Diploma in GRC, Diploma in AML, and Diploma in FCP.

London- Courses starting soon

• International Advanced Certificate in AML
• Advanced Certificate in Practical CDD
• Advanced Certificate in Regulatory Compliance
• Advanced Certificate in Managing Fraud
• Advanced Certificate in Legal Compliance
• International Diploma in AML
• International Diploma in GRC
• Diploma in FCP
• PPGDiploma in FCC – end of September
• PPGDIploma in GRC – end of December

Q&A

Over to you