Capital, liquidity and reputation are all exposed by weak handling of international sanctions compliance. The audit trail behind this area of financial and banking practice matters as much as the decision itself. Ambition around the financial and banking practice discipline outruns capacity unless the sequencing is deliberate. Sessions alternate between guided analysis of international sanctions compliance and supervised application. The course leaves participants able to diagnose weaknesses in the wider financial and banking practice agenda before they become incidents. The course covers this area of financial and banking practice at the level of detail needed to act, and stops there. Across sectors, teams that rehearse international sanctions compliance outperform teams that only plan it. It suits anyone whose decisions touch the financial and banking practice discipline, in large organisations and small ones alike. The closing exercise tests whether the participant's plan for the financial and banking practice capability survives a hostile question.
Expected Learning Outcomes
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Assess the concentration risk building up inside international sanctions compliance.
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Assess the capital and liquidity implications of international sanctions compliance.
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Align international sanctions compliance with the wider objectives of the business line rather than optimising it in isolation.
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Prepare the regulatory submissions arising from international sanctions compliance.
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Draw practical lessons from failures in international sanctions compliance without assigning blame that suppresses reporting.
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Price international sanctions compliance to reflect the risk actually being taken.
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Set the minimum documentation for international sanctions compliance that is genuinely necessary, and stop there.
Who Should Attend
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Credit and underwriting officers assessing international sanctions compliance.
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Board risk committee members overseeing international sanctions compliance.
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Managers in small and medium organisations who own international sanctions compliance alongside other duties.
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Staff seconded into improvement work on international sanctions compliance.
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Operations staff executing and settling international sanctions compliance.
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Investment and portfolio managers exposed to international sanctions compliance.
Course Modules
Open any module to see its sessions and topics.
01
International sanctions compliance: measurement, models and their assumptions
2 sessions · 8 points
Session 1The control on international sanctions compliance that looks strong and is not
Record what was learned when international sanctions compliance did not go as planned.
Agree who signs off international sanctions compliance and record that they did.
Confirm that those complying with international sanctions compliance understand why it exists.
Test international sanctions compliance against a scenario the organisation would rather not model.
Session 2Stress scenarios for international sanctions compliance that are plausible rather than convenient
Design the exception process for international sanctions compliance and require a documented rationale.
Check the legal and contractual exposure created by international sanctions compliance.
Confirm regulatory reporting on international sanctions compliance is complete, timely and reconciled.
Agree the indicators that will show whether international sanctions compliance is improving.
02
International sanctions compliance: risk appetite, limits and policy
2 sessions · 8 points
Session 1Keeping international sanctions compliance alive after the initial push
Agree what will be standardised in international sanctions compliance and what will not.
Anticipate the objections international sanctions compliance will raise and prepare the answers.
Confirm client due diligence standards applied to international sanctions compliance are current.
Identify the key controls over international sanctions compliance and who tests them.
Session 2Handling a breach of policy on international sanctions compliance properly
Set early warning indicators for international sanctions compliance with defined action thresholds.
Confirm reporting on international sanctions compliance reaches the committee that can act on it.
Verify six months later that changes to international sanctions compliance have held.
Review the pricing of international sanctions compliance against the risk being assumed.
03
International sanctions compliance: stress testing and scenario analysis
2 sessions · 8 points
Session 1Reporting international sanctions compliance so the reader can act on it
Check that international sanctions compliance still works when volumes rise unexpectedly.
Collect evidence on the present handling of international sanctions compliance before proposing changes.
Review concentration by counterparty, sector and geography inside international sanctions compliance.
Draft the minimum viable control framework for international sanctions compliance.
Session 2Where international sanctions compliance typically breaks, and why
Check the accounting treatment applied to international sanctions compliance against current standards.
Translate the appetite for international sanctions compliance into limits someone monitors daily.
Decide what will be stopped to create capacity for international sanctions compliance.
Set out how exceptions to international sanctions compliance are requested and approved.
04
International sanctions compliance: reporting that supports a decision
2 sessions · 8 points
Session 1Building lasting competence in international sanctions compliance
Record the rationale for each significant choice made about international sanctions compliance.
Prepare the evidence pack demonstrating international sanctions compliance operated as designed.
Set the review interval for international sanctions compliance and who attends.
Compare the cost of international sanctions compliance with the cost of its absence.
Session 2Setting a limit on international sanctions compliance that will actually be respected
Remove steps in international sanctions compliance that add effort without adding assurance.
Assess the capital consumed by international sanctions compliance under current and stressed conditions.
Confirm segregation of duties across initiation, approval and settlement of international sanctions compliance.
Test the procedure for international sanctions compliance against a realistic scenario.
Choose the package that suits you
Silver Package
At least 3 people
USD1,250
Workshop or Program Participation
Airport Transfers
Customized Badge
Expert Mentorship (Private Sessions)
Supervision & Secretarial Services
Accredited Certificate of Participation
Complete Training Kit
Coffee Break
Closing Ceremony
Gold Package
At least 3 people
USD1,850
5-night stay in a 5-star hotel
Workshop or Program Participation
Airport Transfers
Customized Badge
Expert Mentorship (Private Sessions)
Supervision & Secretarial Services
Accredited Certificate of Participation
Complete Training Kit
Coffee Break
Closing Ceremony
Complete your registration
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