PAT FinTech

Fintech Compliance and Risk Management

Fintech Compliance and Risk Management

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NFQ LEVEL: 7 ECTS: 5
DURATION: 6 weeks HOURS: Total 24 hours live online (& recorded)
MODE: Part-Time (On-line)  
AWARD: Single Subject Certificate START DATE: January 30th 2024

CPD Accreditation Confirmation – 2022-1523

Designation/CPD Scheme

Maximum CPD Hours

LCI

8

Clear

Description

This course focuses on best practice control structures and risk management frameworks for the monitoring of compliance risks in a contemporary Fintech environment. The course initially addresses the compliance risks and regulatory guidance related to the outsourcing of critical services and the importance of robust vendor evaluation. The outlines the control and oversight structures required to manage multiple third-party service providers in evolving Fintech operating models, and emphasises the role of the compliance function, throughout the customer’s lifecycle.

Assessment

40%: Blend of competency based MCQs & scenario analysis

60%: Final Examination

 

OUTCOMES

On the successful completion of this course learners will be able to:

1. Analyse the compliance risks and regulatory guidance associated with Fintech’s outsourcing of critical services.

2. Assess vendor evaluation procedures and implement a risk management framework for Fintech operating models.

3. Define the control and oversight structures required to manage the operational resilience of multiple integrated service providers.

4. Identify the sources of compliance and regulatory risks throughout the lifecycle of a customer in a Fintech environment.

 

                                                                                                                        

 

Additional information

Funding Type

IFS Funding, Direct Payment, IFCA Members (Direct Payment), ENFCO Members (Direct Payment)