Welcome to theICA Open Day

Pekka Dare Director of Education and Training

Jonathan BowdlerHead of Regulatory Compliance

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URL: icabriefings2018.com

Objectives of the day

1) What qualification shall I do?

2) What level is right for me?

3) What will the impact be on my career?

4) What are my next steps?

What shall I study?

• What’s my current role?• What’s my aspirational role?• What is my experience, where should I start?

New Entrant/ operations

Analyst/officerManager/

Senior Manager

Senior Manager/Director

Certificate Advanced Certificate

Diploma PPG Dip

Affiliate Associate (AICA) Prof. Member (MICA)

Fellow (FICA)

Understanding Doing Managing Leading

Your learning experience

Course formatLevel 2 Certificate

qualification

(3 months)

Level 4 Advanced Certificate

qualification

(6 months)

Level 6 Diploma qualification

(9 months)

Level 7 Professional Postgraduate qualification

(6 months)

Online Two workshops or virtual classrooms

Four workshops or virtual classrooms

Two residentialweekend

workshops

25 multiple-choice questions completed

online

Two 2500 word assignments

Three 3500 word assignments

Eight 1000 word masterclass

commentaries

3 hours for CDDexamination(exam only)

2-3 hour competency-

based oralinterview

How do I study?Self study

Workshops

Assignment(s)

End of course examination

(certain courses only)

Tutor Support

Virtual classrooms

FCC

Financial Crime Compliance qualification framework

ICA Professional Postgraduate Diploma in Financial Crime Compliance

ICA Diploma in Financial Crime Prevention ICA International Diploma in Anti Money Laundering

ICA Advanced Certificate

in Managing Fraud

ICA International Advanced Certificate

in Anti Money Laundering

ICA Advanced Certificate in Practical

Customer Due Diligence

ICA Advanced Certificate in

Managing Sanctions Risk

ICA Certificate in Financial Crime

Prevention

ICA Certificate in Managing Sanctions

Risk

ICA Certificate in Anti Money Laundering

ICA Certificate in KYC and CDD

ICA Specialist Certificate in

Managing Financial Crime in Global

Banking & Markets

ICA Specialist Certificate in

Combating Financing of Terrorism

ICA Specialist Certificate in Money Laundering Risk in

Private Banking

ICA Specialist Certificate in Trade

Based Money Laundering

ICA Specialist Certificate in

Managing Financial Crime in Mobile

Financial Services

ICA Specialist Certificate in Money Laundering Risk in

Correspondent Banking

ICA Specialist Certificate in Money Laundering Risk in

Betting and Gaming

ICA Specialist Certificate in Anti-

Corruption

The CDD Process

Prospect

Customer

Customer

Identification

Customer

Verification

Customer Profile

Beneficial Owners

& Controllers

Relationship

Sof/Sow

Screening

Sanctions, Peps,

Media

Customer

Identification

Acceptabiity of

The Relationship

Structured KYC

File

Accepted

Customer

Inputs CDD Outcomes

Risk Factors

Rating &

Assessment

US Sanctions

• Jurisdictional Reach• What is a US Nexus?• Secondary Sanctions• US Persons?

US Global Reach

• US Dollars• Anti- facilitation – Use of US infrastructure

• Cloud computing• Global accounting systems and databases• General Licence H

• State Level Sanctions

Practical skills

Regulatory Compliance qualification framework

ICA Professional Postgraduate Diploma in Governance, Risk and Compliance

ICA International Diploma in Governance, Risk and Compliance

ICA International Advanced Certificate in Regulatory Compliance

ICA Advanced Certificate in Business Compliance

ICA Advanced Certificate in Legal Compliance

ICA Certificate in Compliance

ICA Specialist Certificate in Conduct Risk

Exercise one• Design a one page hand-out that summarises

the complete UK financial services regulatory landscape as it stands now

• This structure should contain more than simply the regulators, it should reflect as full a picture of the main influences in the UK today as possible on one side of paper

Interactive workshops

Assignment question exampleProduce a paper to present to the Board of a regulated firm in a jurisdiction and sector of your choice. The paper should consider how the current economic and political environment, together with increased political and media focus, is currently impacting upon Governance, Risk and Compliance (GRC) issues for your chosen firm. Your answer should be supported by relevant examples and include coverage of, but not be limited to, topics such as the following;

• how the regulatory environment has changed over the last 5 years

• current regulatory developments and hot topics

• known and potential future regulatory developments

• Impact upon the structure, strategy and objectives of the GRC functions in the firm

• current and potential barriers to effective regulatory risk management in the firm

• consequent opportunities and threats to the firm.

Total 100 marks

You

Regulators

AMBS

Recruiters

UK Finance

National Occupational Standards of Competence

designations

We keep you current

Your professional community

ICA’s 11th Annual Conference:The BIG Compliance

Conversation11 April 2019, Central London

Accessibility• Online and virtual courses• Face-to-face courses

• Apprenticeship scheme

• The risk compliance officer (L3) standard – Certificates, Specialist

Certificates and the Advanced Certificate in Compliance

• The senior risk compliance officer (L6) standard – Advanced Certificate in

AML, Advanced Certificate in FCP, Advanced Certificate in CDD, Diploma in

GRC, Diploma in AML, and Diploma in FCP.

London- Courses starting soon• International Advanced Certificate in AML• Advanced Certificate in Practical CDD• Advanced Certificate in Regulatory Compliance• Advanced Certificate in Managing Fraud• Advanced Certificate in Legal Compliance• International Diploma in AML• International Diploma in GRC• Diploma in FCP• PPGDiploma in FCC – end of September• PPGDIploma in GRC – end of December

Q&AOver to you