Productive Thinking: Applied Analysis in Regulatory Compliance

With the continuous assault on financial and regulated business sectors by fraudsters, transnational criminals, and all levels of terror organizations, those with the responsibility to identify, track, and report suspicious actions need to be informed and equipped with the capabilities to perform their duties. Banking and business are both targeted victims of crime and serve as undetected tools of crime. Effective business strategy and regulatory compliance protect both institutions and their clients, as well as their systems, from misuse. This course, developed and taught by those with training in business and banking compliance, equips students with the skills and knowledge to protect organizations from the risk of being victims of crime or being used as a part of another’s criminal act.

Attendees will come to understand and develop standard analytical skills, and apply this knowledge as they interpret complex data, identify patterns and anomalies, and assess risks related to customer conduct or transactional activities. They will recognize a broad understanding of threats associated with financial operations and exposure to criminal or terrorist exploitation. They will be provided with knowledge that will increase proficiency in data management, data analysis, critical thinking, and an analytical approach to problem-solving, all within the policies and procedures of financial service institutions and in accordance with relevant financial regulations and legal frameworks. Finally, attendees will develop practical communication skills to convey the results of this complex work, produce findings, and make recommendations in a form that is understandable to stakeholders and decision-makers.