This comprehensive course provides strategic guidance on building and managing effective AML/CFT compliance programs that meet regulatory expectations and effectively mitigate financial crime risks. Participants will learn about the key components of successful compliance programs, including governance, risk assessment, policies and procedures, training, and monitoring. The course covers both program development and ongoing management, providing practical insights into resource allocation, technology implementation, and performance measurement. Through case studies and strategic exercises, learners will develop the expertise needed to lead successful compliance programs.
Building and Managing an Effective AML/CFT Compliance Program
Anti-Money Laundering AML/CFT
October 25, 2025
Introduction
Objectives
Key Learning Objectives:
- Understand the key components of effective AML/CFT compliance programs
- Learn to develop comprehensive compliance policies and procedures
- Master risk assessment methodology and application
- Develop skills in compliance program governance and oversight
- Learn to implement effective training and awareness programs
- Understand technology selection and implementation strategies
- Master performance measurement and reporting techniques
- Learn to manage compliance program resources effectively
- Develop strategic planning and continuous improvement capabilities
Target Audience
- AML/CFT compliance officers and managers
- MLROs and compliance heads
- Senior management and board members
- Risk management executives
- Compliance consultants and advisors
- Regulatory agency staff
- Financial institution executives
- Legal and governance professionals
Methodology
- Case studies of successful compliance programs
- Program development workshops
- Policy writing exercises
- Governance structure design
- Performance measurement development
- Industry expert presentations
- Strategic planning sessions
Personal Impact
- Enhanced compliance program management skills
- Improved strategic planning capabilities
- Stronger leadership and governance abilities
- Better resource management skills
- Increased confidence in compliance program leadership
- Career advancement in compliance management
Organizational Impact
- More effective AML/CFT risk management
- Enhanced regulatory compliance
- Improved operational efficiency
- Stronger governance and oversight
- Better prepared for regulatory examinations
- Continuous compliance program improvement
Course Outline
Unit 1: Compliance Program Fundamentals
Regulatory Framework- Legal and regulatory requirements
- Industry standards and best practices
- Enforcement expectations
- Global program considerations
- Governance and oversight
- Policies and procedures
- Risk assessment
- Training and awareness
Unit 2: Program Development and Implementation
Strategy Development- Program vision and objectives
- Risk-based approach implementation
- Resource planning and allocation
- Implementation roadmap development
- Policy hierarchy development
- Procedure documentation
- Control implementation
- Communication and rollout
Unit 3: Governance and Oversight
Organizational Structure- Roles and responsibilities definition
- Reporting lines and accountability
- Committee structure establishment
- Delegation of authority
- Board reporting requirements
- Management information development
- Performance measurement
- Quality assurance programs
Unit 4: Operational Management
Resource Management- Staff recruitment and development
- Budget management
- Technology system selection
- Vendor management
- Workflow design and improvement
- Automation opportunities
- Efficiency measurement
- Cost management strategies
Unit 5: Continuous Improvement
Performance Measurement- Key performance indicators
- Effectiveness assessment
- Benchmarking and comparison
- Management reporting
- Regulatory change management
- Emerging risk adaptation
- Industry best practice adoption
- Innovation and technology adoption
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