Professional Courses

AML CERTIFICATES

The recent 2020 DIA Regulatory Report found that insufficient training of compliance officers, senior management and any staff member with AML/CFT duties was one of the most common areas of non-compliance.

AML/CFT training should be taken seriously, and it should be provided consistently. We have a number of courses below to suit both individuals and businesses to complete training requirements.

We provide these courses Online, In-Person and One-On-One. We also offer pre-recorded training packages.

Please fill in our form below to find out more. 

BUSINESS OWNERS & SENIOR MANAGEMENT

This course is designed for Business Owners and Senior Managers so that you can better understand your responsibilities and how to best support compliance officers’.

 

This in-depth course will provide you and your business with up-to-date information and knowledge so that you can complete your required training and stay ahead of the game.

This course will over the following topics: 

  • Importance of the AML/CFT Legislation (Global and New Zealand Context)

  • Requirements of AML/CFT in New Zealand

  • Risk Assessment and Compliance Programmes 

  • Key Obligations Business Owners 

  • Key Obligations for Senior Managers

  • What to Expect from Compliance Officers 

  • Staff Vetting 

  • Risk and Mitigation

  • Liabilities and Penalties

  • Ensuring your Business has a Culture of Compliance and Adequate Training 

FRONT-LINE STAFF

IN AML

This course caters to those working in client-facing roles, whether it be Real Estate, Law, Accounting or Financial Services. Front-line staff in AML have an important role in supporting the AML/CFT scheme.

 

It is vital for these individuals to understand the core elements of AML/CFT in order to identify risks and encourage best practice in this field.

 

This in-depth course will provide you and your business with up-to-date information and knowledge so that you can complete your required training and stay ahead of the game.

This course will over the following topics: 

  • Introduction to AML/CFT (New Zealand Context)

  • Know Your Customer 

  • Beneficial Ownership and Effective Control 

  • Red Flags

  • Gathering of Information 

  • Record Keeping 

  • Importance of Client Consent 

  • IDV Requirements 

  • How to Best Communicate with Clients 

COMPLIANCE OFFICERS & AML ADMINISTRATORS

Compliance Officers’ and AML Administrators’ have an important role in up-holing AML/CFT requirements, obligations and driving a culture of compliance in your business.

 

This in-depth course will provide you and your business with up-to-date information and knowledge so that you can complete your required training and stay ahead of the game.

This course will over the following topics: 

  • Obligations for Compliance Officers

  • Obligations of the Business and Senior Management

  • Customer Due Diligence

  • Risk Based Approach

  • Account Monitoring

  • Red Flags

  • Complex Structures 

  • Source of Wealth and Funds

  • Prescribed Transactions and Suspicious Activity Reporting (SAR)

  • Managing and Mitigating Risk

  • Liabilities and Penalties

  • Record Keeping

  • Training

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