Udemy - Introduction To Compliance Risk Assessment

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Free Download Udemy - Introduction To Compliance Risk Assessment
Last updated 5/2025
MP4 | Video: h264, 1280x720 | Audio: AAC, 44.1 KHz
Language: English | Size: 2.18 GB | Duration: 4h 6m
Fundamentals of Compliance Risk Assessment (CRA), How Is It Performed. For Compliance, Risk, and Audit Professionals

What you'll learn
Learn about Compliance, and Compliance Risks, with examples
Learn about Regulators, different Laws, Regulations and Standards issued by Regulators
Learn key Compliance Areas and related Requirements such as Cybersecurity, Data Privacy, ESG, Health and Safety, Anti Financial Crime Compliance, etc
Learn about Risks, and Common Compliance Risks faced by Financial Institutions
Learn about Inherent Risk Assessment, Residual Risk Assessment, Risk Scores, Ranges, Impacts and Likelihood
Learn about Compliance Risks Identification Process
Learn about the methodology of performing Compliance Risk Assessment
Learn hoe Compliance Risk Assessment are performed by organizations using the Compliance Risk Assessment Template
Case Studies to actually perform the Compliance Risk Assessment
Requirements
No specific previous knowledge is required. Anyone who wants to learn about the Compliance, Risks and Compliance Risk Assessment can join this course.
Description
HelloWelcome to the 'Introduction to Compliance Risk Assessment' Course.BRIEF OVERVIEW OF THE IMPORTANCE OF COMPLIANCE RISK ASSESSMENTIt is one of the big challenges for companies, organizations, institutions, and businesses, to ensure that they comply with applicable laws and regulations. As Laws and Regulations change over time, there is a need for performing regular risks identification, assessments, and mitigation of risks. Performing Compliance Risk Assessment is one of the regulatory requirements and involves a logical and sequential process, which Compliance and Risk Management professionals follow for risk management. Therefore, organizations, institutions, companies, and businesses establish robust Compliance Functions and hire dedicated Compliance Risk Assessment (CRA) teams and professionals. Compliance and Risk Management professionals perform 'compliance risk assessment', to identify new and emerging Compliance Risks derived from different 'applicable/new' Laws, Rules, Regulations, Standards, etc. to be covered in the overall Compliance Risk Assessment. Today, Compliance Risk Assessment (CRA) is considered one of the mandatory parts of overall Compliance Management, in any organization, company, institution, or business. Regulated institutions, such as Digital Payment Companies, E-Commerce Companies, Gateways, Banks, Insurance, Investments, Technology Companies, Manufacturing and Service sector companies, and businesses all regularly perform CRAs and report the CRA results to the Board of Directors and Management. Organizations that do not develop, and perform Compliance Risk Assessment (CRA), are prone to the risk of non-compliance, which may lead to fines, and penalties that will lead to financial and reputational losses. ABOUT COURSEThis course will give you a comprehensive knowledge of Compliance, Key Regulations and Their Requirements, Various Risks, Compliance Risks, Sources of Compliance Risks, Compliance Risk Assessment, and Methodology/process organizations/institutions use to identify and manage their compliance risks, including significant/high-level compliance risks. You will also learn how organizations, institutions, and companies document, analyze, prioritize, and mitigate/manage regulatory compliance risks, as part of overall risk management activity.TOPICS COVEREDYour learning journey will provide you with knowledge and understanding of important concepts, including: Fundamentals of Compliance, Compliance Culture, Compliance Risk, and related conceptsDifferent Key Risks Being Faced by Organizations?Key Compliance Areas and related Requirements that Compliance professionals and Risk Assessment teams should know for compliance and risk assessment purposes, including Cybersecurity, Data Privacy, Environmental, Social and Governance ESG, Artificial Intelligence AI Use, Health and Safety, Anti Financial Crime Compliance, etc. Sources of Compliance Risks with Examples to Perform CRAOverview of "Data Protection" and "Anti-Money Laundering AML" Compliance Requirements applicable in different countries such as the United States, Europe, China, Singapore, Australia, etc.Consequences of Non-CompliancesCompliance Risk Assessment (CRA) Process and its Key Steps Process of Compliance Risks Extraction Case Scenario: Steps Involved in Using Internal Policy: Source of Compliance Risk, for Risk Identification Extraction of Compliance Requirement for Risk Statement Creation and Drafting 'Risk Statements'Checking the Operating Effectiveness of Control and Mapping with Risk StatementUsing a CRA Template to perform CRA Process of drafting "Compliance Risk Statements" from SourcesInherent and Residual Risk Assessments Process and Examples Controls Mapping Process CRA templateAssigning, Analysing, and Assessing Risk ScoresCASE STUDIES: 3 Practical Case Studies to discuss how 'Compliance Risk Assessments' are performed in different Scenarios and Processes.BONUS LECTURE - CASE STUDYYou will learn, How a Compliance Officer Performs Compliance Risk Assessment, in an E-Commerce Company utilizing Artificial Intelligence AI Pricing and Product Models, How a Compliance Officer develops a formal Compliance Risk Register for Compliance Risk Assessment, How Inherent and Residual Risk ratings are assigned for Top Risks, etc.MULTIPLE CHOICE QUESTIONSMultiple Choice Questions - MCQs to test your knowledge of concepts that you will gain in this course.HOME ASSIGNMENTYou will learn how a Compliance Risks and Controls Matrix is developed. You have to develop a Compliance Risks and Mitigation Control Matrix including Identification of Risks, Documentation of 'Compliance Risks Statements', 'Assigning risk Ratings', and documenting 'Mitigation Controls', for Compliance Processes given in the assignment. You can download the 'Compliance Risks and Mitigation Control Matrix' Template. DOWNLOADABLE RESOURCESDownloadable Course Script, Downloadable Prototype of CRA Template, Downloadable 'Compliance Risks and Mitigation Control Matrix' Template.Other BenefitsLifetime access to the course Certificate of completion of course etc.Who Is This Course For?If you are working in any of the following capacities or a student learning Compliance and Risk Management, specifically the Compliance Risk Assessment, then this course is for you; Chief Compliance Officers (CCOs), GRC Head, GRC Analyst and Managers,Compliance Analysts, Compliance Risk Management Professionals,AML Analysts, MLROs, DMLROs, Risk Management Heads, Risk Professionals, Risk Analysts, Risk Reviewers,Risk and Compliance Consultants,Internal Auditors, and Internal Controls Specialists,Cyber Security Risk Analysts,ACAMS, Risk Management and Compliance StudentsAnyone who wants to learn about Compliance Risk Assessment is welcome to this course. Thank youHappy learning.
Compliance Professionals, Compliance Heads, AML Head, AML Analysts, Compliance Analysts, Anti-Financial Crime Specialists and Compliance Students such as ACAMS,Risk Management Professionals, Risk Analysts, Compliance Risk Management Professionals, and Risk Management Students,Internal Auditors, Internal Controls Analysts and students,IT or Cybersecurity Professionals and Students,Money Laundering Reporting Officers (MLROs), Deputy Money Laundering Reporting officers (DMLROs),Departmental heads working in different departments or functions in an organizations or companies

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Introduction To Compliance Risk Assessment
Published 8/2022
MP4 | Video: h264, 1280x720 | Audio: AAC, 44.1 KHz
Language: English | Size: 1.25 GB | Duration: 2h 24m​

Learn Fundamentals of Compliance and Gain Practical Insight into How Compliance Risk Assessment (CRA) is Performed

What you'll learn
Learn about Compliance, and Compliance Risks, with examples
Learn about Regulators, different Laws, Regulations and Standards issued by Regulators
Learn about Risks, and Compliance Risks
Learn about Inherent Risk Assessment, Residual Risk Assessment, Risk Scores, Ranges, Impacts and Likelihood
Learn about Compliance Risks Identification Process
Learn about the methodology of performing Compliance Risk Assessment
Learn hoe Compliance Risk Assessment are performed by organizations using the Compliance Risk Assessment Template
Case Studies to actually perform the Compliance Risk Assessment
Requirements
No specific previous knowledge is required. Anyone who wants to learn about the Compliance, Risks and Compliance Risk Assessment can join this course.
Description
Due to increase in competition, diversified customers' needs, digitalization, and a significant increase in the number of criminal activities, such as Financial Crimes, Money Laundering, Cyber Attacks, Data Losses, etc., Regulators all around the world are focussing on establishing different specialized frameworks in the form of Laws, Rules, Regulations, and Standards.Financial crime is one of the biggest threats to all organizations and institutions because the criminals exploit them through different means and utilize their illegal money or illegal funds, to purchase goods or services from different organizations. Financial crime or criminal activities cause reputational losses and financial losses. To avoid reputational losses, financial losses, and operational losses, organizations, and institutions are required to adopt the laws, and Regulations that are prescribed by the regulatory authorities. Today It is a big challenge not only for the Regulators but also for Organizations and Institutions, to control the complex work environment, competition, and increasing number and incidents of criminal activities. Regulators keep on trying, to ensure that all organizations adopt a transparent work environment and comply with applicable laws, rules, and regulations, which they issue from time to time. This course will give you a comprehensive overview of the Compliance Risk Assessment methodology and process, which organizations and institutions regularly perform, to identify the significant or high-level compliance risks, to which they are exposed. You will learn how organizations, institutions, and companies practically perform the Compliance Risk Assessment and identify the Risks, Threats, and Vulnerabilities and how they treat those risks.Your learning journey will provide you with knowledge and understanding of a number of important concepts, including: What is Compliance, Compliance Culture, Compliance Risk, and related conceptsHow Does Compliance Risk differ from Other Risks?What are different Sources of Compliance Risks with ExamplesWhat are the Consequences of Non-CompliancesWhat is Compliance Risk Assessment and Key Steps Involved in performing itExtraction of different Compliance Risks What is the Compliance Risk Assessment Template and How It Is FilledHow to draft the "Compliance Risk Statements" in the CRA TemplateWhat are Inherent and Residual Risk Assessments and How are they PerformedMapping of Controls against Risks in Risk Assessment templateHow identified Compliance Risks are Analysed and Assessed to assign Risk ScoresCase Studies: Practical understanding of how organizations and institutions perform Compliance Risk AssessmentMultiple Choice Questions - MCQs are also made part of this course for you, to check test knowledge of key concepts that you will gain through attending this course.You will also find a great deal of additional sources as part of this course, such asownloadable Material and Slides, Downloadable Prototype of CRA Template Slide, Lifetime access to the course Certificate of completion of course etc.There is no pre-requisite for this course and this course can be completed within2 hours.Who Is This Course For?Compliance Professionals, including Chief Compliance Officer, Compliance Analysts, AML Analysts, MLROs, DMLROs, etcRisk Management Professionals, including Risk Analysts and ReviewersCompliance or Risk Management ConsultantsInternal Auditors and Internal Controls AnalystsCyber Security Risk AnalystsACAMS or other Compliance StudentsAnyone who wants to learn about Compliance, Risks, and Compliance Risk Assessment should join this course. Thank youHappy learning.

Overview

Section 1: Introduction

Lecture 1 Introduction

Lecture 2 Core Concepts and Topics of Compliance Risk Assessment Covered in this Course

Lecture 3 Importance of Compliance Risk Assessment

Section 2: Introduction to Compliance

Lecture 4 What Is Compliance

Lecture 5 Compliance Requirements for a Company or Organization

Lecture 6 Who Issues Laws, and Regulations for Compliance

Lecture 7 Examples of Important Laws, Regulations and Standards for Compliance

Section 3: Risk and Types of Risks

Lecture 8 What Is a Risk?

Lecture 9 Different Types of Key Risks Which Organizations are Exposed To

Lecture 10 What is Compliance Risk?

Section 4: Compliance Risk Identification and Assessment

Lecture 11 Introduction to Compliance Risk Assessment Methodology

Lecture 12 6 Main Steps of Performing Compliance Risk Assessment

Section 5: Inherent Risks Assessment and Residual Risks Assessment

Lecture 13 What are Inherent Risks and Residual Risks - With Examples

Lecture 14 What are Risk Scores, Ranges and Impact and Likelihood

Lecture 15 Example 1: Assigning Inherent and Residual Risk Scores

Lecture 16 Example 2 Inherent and Residual Risk Scoring and Assessment - E Commerce Company

Lecture 17 Example 3 Inherent and Residual Risk Assessment Scoring of a New Vendor Company

Lecture 18 How To Use a Template to Perform Compliance Risk Assessment

Section 6: Compliance Risks Identification Process In Detail

Lecture 19 Compliance Risk Identification Process

Lecture 20 Analysis of Database of Compliance Risks or Incidents

Section 7: Case Studies - How To Perform Compliance Risk Assessment

Lecture 21 Overview of Risk Scores and Ranges That We Shall Use In Case Studies

Lecture 22 Case Study 1 - Background and Overview

Lecture 23 Case Study 1 - Performing Compliance Risk Assessment for Regulatory Requirements

Lecture 24 Case Study 1 Performing Compliance Risk Assessment - AML Transaction Monitoring

Section 8: Case Study 2 - Performing Compliance Risk Assessment - Cyber Security

Lecture 25 Case Study 2 - Background and Overview of Case

Lecture 26 Case Study 2 - Performing Compliance Risk Assessment - Cyber Security

Section 9: Multiple Choice Questions MCQs

Compliance Professionals, Compliance Heads, AML Head, AML Analysts, Compliance Analysts, Anti-Financial Crime Specialists and Compliance Students such as ACAMS,Risk Management Professionals, Risk Analysts, Compliance Risk Management Professionals, and Risk Management Students,Internal Auditors, Internal Controls Analysts and students,IT or Cybersecurity Professionals and Students,Money Laundering Reporting Officers (MLROs), Deputy Money Laundering Reporting officers (DMLROs),Departmental heads working in different departments or functions in an organizations or companies

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