Online Professional Certificate in Operations and Compliance
Learn about the latest developments in trade processing and systems that enable firms to settle transactions accurately and efficiently.
CPE:16 CEU:2 ICB:84.5 ACAMS:3 ICPAS:13.5 CFA/CE:7 Credits
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Duration : 8 hours
- Introduction to Brokerage Operations
- Back Office: The Order Room
- Back Office: Purchase and Sales
- Back Office: The Margin Department
- The Cashier's Department
- Current Trends in Brokerage Operations
- New Regulations in Brokerage Operations
- Developments in International Brokerage Operations
Duration : 1 hour
- Understand the processing and approval procedures
- Identify the functions of back office departments
- Understand the key dates in a settlement
Duration : 6 hours
- Introduction to Margin Requirements
- Margin Transactions
- Margin Calls
- Margin Requirements for Day Trading and Bonds
Duration : 9 hours
- What is Money Laundering
- International Initiatives
- Customer Identification Program
- USA PATRIOT ACT
- Wolfsberg Principles on Correspondent Banking
- Terrorist related money laundering
Duration : 2 hours
- Payment and Settlement Systems
- Electronic Transfer of Funds
Duration : 4 hours
- Internal Controls in Banks
- Banking Technology
- Branch Security Management
- Branch Security Fraud Aspects
Duration : 6 hours
- Financial Privacy Regulation
- Privacy Notices and their Content
- Exceptions to the Rules and Reuse of Information
- Exam Procedures
- Security Guidelines
- Section 501b of the GLB Act and the Management
Duration : 12 hours
- Overview of SarbanesOxley Act
- Public Company Accounting Oversight Board
- Auditor Independence
- Corporate Responsibility
- Enhanced Financial Disclosures
- Analyst Conflicts of Interest
- Commission Resources and Authority
- Studies and Reports
- Corporate and Criminal Fraud Accountability
- White Collar Crime Penalty Enhancements
- Corporate Tax Returns
- Corporate Fraud and Accountability
Duration : 6 hours
- Treasury Management – Scope and Importance
- Overview of Risk Management
- Treasury Management Systems
- Treasury Policy
- Treasury Controls
- Accounting for Derivatives
Duration : 7 hours
- Classification of Risks
- Introduction to ERM and its Frameworks
- Regulatory Landscape
- GRC Demystified
- COSO and CobiT in Support of GRC Needs
- Operational Risk Management Primer
- GRC Case Study
Duration : 11.5 hours
- ORM Framework
- Risk Identification
- Loss Data Collection Methodology
- Risk SelfAssessment
- Key Risk Indicators
- Risk Quantification I
- Risk Quantification II
- Management Applications
- Realization Challenges and Deployment Strategy