Course Code

  • DGFC


  • City of London

CPD Credits

  • 2
Download PDF Get this course in-house

Or call 0203 178 4230 or email today.

Course Overview

Improve governance standards to protect your firm from the very real and evolving threat of financial crime

Is financial crime high up on your board’s agenda? It should be because the regulator expects strong leadership and robust controls on this issue.

The risk of financial crime is a very real threat to your business. The biggest of which is not from prosecutions and PR disasters (as damaging as these can be), but from the regulator’s enforcement penalties for systems and control failings.

The FCA takes these failings extremely seriously (with huge fines levied). Yet most firms still have inadequate systems in place to prevent or mitigate the effects of financial crime. And the leadership at board level on this issue is often criticised.

Does your firm follow financial crime prevention best practice? Want to find out how to plug the regulatory gaps?

Then please join us for this fast-paced two-hour briefing. We help you understand your financial crime governance responsibilities, while helping you more easily demonstrate a robust approach to the regulator.

  • What is your board’s collective financial crime responsibility?
  • What are your personal responsibilities as a director?
  • Investigate the major types of financial crime and how they’re continually evolving
  • Better understand financial crime risks by sector and type of firm
  • Learn to build financial crime metrics into your management information
  • Benchmark your risk management standards against industry best practice.

Make financial crime prevention a top priority

icon_timeSet the right tone from the top
How does your leadership affect how your firm controls financial crime risk? This course helps you gain a more objective view of the way you currently handle financial crime management, and what steps you can take to improve leadership on this issue.

icon_avoidEasily handle regulator scrutiny
We help you see financial crime management from the viewpoint of the regulator. With this insight you’re better able to design the policies and processes that will best protect you firm, your employees and your customers.

icon_clientsDevelop robust financial crime systems
This course is not just about helping you avoid the wrath of the regulator. It’s about helping you take the proactive steps you need to actually prevent or quickly identify financial crime in your firm. We help you understand the best practice systems you need to protect yourself.

icon_thumbs-upMitigate risk of PR disasters
If your firm is linked to financial crime in the trade, local or national press your reputation is certain to take a hit. All PR is definitely not good PR. By focusing your senior team onto the issue of financial crime, you’ll be taking huge steps forward to mitigate the risk of commercial and regulatory damage.

The Course Agenda

What are the board’s responsibilities?

  • Leading your anti financial crime culture: zero tolerance or a “blind eye”?
  • Governance and anti-financial crime

Where and how are you vulnerable?

  • Understanding the evolving risk: from old-fashioned fraud to cybercrime
  • The current regulatory agenda and priorities
  • Between “lip service” and “gold plating”: what is “appropriate” for different organisations

Improving systems and controls

  • Your policies and procedures: who are they actually written for?
  • Education and training: beyond the “annual money laundering test”

Financial crime overview

  • No news is not necessarily good news
  • Improving management information
  • Examples of best practice
  • Question and conclusions
Download PDF Get this course in-house

Or call 0203 178 4230 or email today.

Meet The Tutor

Martin Allen


A lengthy, highly-successful and varied career in Barclays Bank has been the perfect springboard to Martin becoming an exceptional trainer. He has particular expertise in Financial Crime Prevention, thanks in no small part to wide and deep exposure to the development of Anti-Money Laundering/Know Your Customer (AML/KYC) and Countering Terrorist Financing (CTF) solutions both during his time at Barclays and since.

This exposure has involved among other things, the development and delivery of policy, procedure, training and communication on the identification and prevention of Money Laundering, Terrorist Financing, Fraud, Identity Theft and “Phishing” both in the UK and in overseas jurisdictions.

Who is this course for?

This workshop is perfect for anyone involved with their firms internal evaluations.

Training that makes a difference

Experienced engaging trainers

With first hand industry knowledge and an intimate understanding of the regulatory environment, we always guide you with an expert (and friendly) hand.

Packed with relevant information

We know you’re busy, so we’re careful not to waste a minute of your time. Our training courses are fast paced, insightful and filled with valuable information.

Get personalised attention

Sessions are practical workshops not PowerPoint lectures. All courses are limited to no more than 14 attendees, so we’re able to explain concepts in the context of your business.

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