2025 Compliance Series

Description

The 2025 Compliance Series offers financial services professionals a practical programme designed to strengthen compliance expertise and readiness. This series explores essential topics ranging from risk assessment and monitoring to sanctions strategy and the future of governance in financial crime compliance.

The series is delivered live online via Microsoft TEAMS and recorded where possible. Each webinar provides 1-hour of CPD. 

 

Suitable For

This series is suitable for all financial services professionals.

 

Agenda

Designing an effective Compliance Monitoring Programme 

30 September 2025  

  • Key components of a monitoring programme

  • Risk-based monitoring approaches

  • Integrating regulatory requirements

  • Tools and technology for monitoring

  • Reporting and escalation processes

  • Continuous improvement and audits
 

OFAC and EU Sanctions: Key Differences and Practical Compliance Strategies

20 October 2025  

  • Overview of OFAC and EU sanctions

  • Key differences in scope and application

  • Compliance challenges for businesses

  • Risk-based approach to sanctions compliance

  • Case studies of sanctions breaches

  • Practical strategies for compliance
 

Designing and Implementing an Effective Business Risk Assessment

10 November 2025 

  • The purpose of a Business Risk Assessment

  • Key features and requirements 

  • The regulatory perspective of a bold BRA

  • Common pitfalls

  • Testing the effectiveness of your BRA
 

PEP Monitoring: Best Practices for Ongoing Risk Assessment and Compliance

25 November 2025  

  • Defining PEPs and associated risks

  • Risk-based approach to PEP monitoring

  • Ongoing due diligence processes

  • Compliance challenges and red flags

  • Technology in PEP screening

  • Regulatory expectations and reporting
 

Navigating the Evolving Landscape of Sanctions Compliance

27 November 2025 

  • What are Sanctions?

  • When to escalate?

  • Different sources 

  • How to deal with a match

  • Consequences of non-compliance
 

The Future of Governance in Financial Crime Compliance: Safeguarding through Harnessing AI and Strategic Oversight

09 December 2025  

  • AI and machine learning in compliance

  • Predictive analytics for risk management

  • Automation of compliance processes

  • The role of RegTech in financial services

  • Regulatory considerations of AI use

  • Case studies of AI in compliance
 

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