Advanced Sanctions Risks

Our securities compliance course instructor is a specialist in investment banking governance, audit, risk, and compliance, bringing extensive international experience to his work. He holds an MBA from Bayes Business School in London and is a Chartered Certified Accountant. He began his career with Price Waterhouse in Kingston, Jamaica, before relocating to London in the wake of the 1986 financial “Big Bang.” Over the years, he has worked with several major financial institutions, including Manufacturers Hanover Trust, Continental Bank, CIBC, and ABN AMRO.

Throughout his career, he has held roles spanning internal audit, product control, risk management, and SOX compliance. His work across major global financial centres has given him deep expertise in regulation, governance, and internal controls across the full lifecycle of investment banking and capital markets products. His experience covers areas such as credit trading and derivatives, asset securitisation and structured finance, foreign exchange and FX options, interest rate derivatives, as well as commodities and treasury operations. In addition, he has taken on leadership responsibilities, playing a key role in developing and implementing strategic initiatives within global banking and markets, alongside delivering large-scale training and cultural change programmes across more than 50 countries.

In his current capacity, he delivers financial crime compliance programmes for leading global banks, including HSBC, Société Générale, SMBC, RBS, Lloyds, Nordea, and Handelsbanken. His training focuses on key areas such as anti-money laundering, sanctions compliance, tax evasion prevention, terrorist financing prevention, and anti-bribery and corruption measures, along with their associated governance frameworks. His programmes are designed for both frontline staff and senior management, reaching audiences across private, corporate, and retail banking sectors in the UK, Europe, Asia, the Middle East, Africa, and the Americas.

He has also served as a Master Trainer on HSBC’s global financial crime training programme and has developed specialised workshops on AML and sanctions with a focus on financial markets, securities, and investment products. His broader experience includes delivering train-the-trainer courses, presenting to US regulators, and providing instruction on audit, conduct risk, operational risk, treasury, Basel III, liquidity and capital management, and ICAAP. Additionally, as an Associate of RSM, he has conducted financial crime and regulatory compliance reviews for institutional clients and is the author of three books, including Clearing The Bull: The Financial Crisis And Why Banks Need A Human Transformation (2012).

Redcliffe Training's Advanced Sanctions Risk course will assist you in developing:

• An understanding of the major US, EU and UK sanctions regimes and how they impact financial institutions. Especially those in Russia, Iran, North Korea, Syria, Cuba, Belarus and China.
• A deeper understanding of the nature of sanctions regimes and the nature of sanctions risk exposures.
• A deeper understanding of how sanctions risk exposures arise. How they permeate business activities in financial institutions and their business relationships.
• Awareness of key sanctions risk management topics and issues you must address within financial institutions.
• The major challenges presented by sanction evasion techniques.
• Best practices in deterring and detecting sanctions risk violations.
• Greater awareness of the roles and responsibilities of managing sanctions risks.

Advanced sanctions training is suitable for staff in entities with sanctions risk exposures, including:

• Banks, asset managers, hedge funds, brokers and other financial institutions with sanctions
  • Compliance, Audit, Legal and other Risk Professionals
  • Frontline Relationship Managers, Advisors, Salespersons and Traders who make routine decisions on financing and investment on behalf of their customers and their firms
  • Customer Due Diligence, Transaction Processing, Operations and Administrators
• International Law Firms, Accountants, Real Estate Agents, Trust & Corporate Services
• Commodity Trading Firms
• Oil companies and Multinationals

Redcliffe Training's sanctions training courses ensure you gain a comprehensive understanding of sanctions risks across both financial and non-financial institutions.

This course provides an in-depth exploration of critical topics, such as the identification and assessment of sanctions risks, the intricacies of the evolving regulatory landscape, and the vital role that robust compliance frameworks play in mitigating these risks.

Participants will gain a deep understanding of how to navigate the nuances of international sanctions regimes. This includes those imposed by authorities such as the United Nations, European Union, and the U.S. government.

Tailored for professionals at all levels, this comprehensive course blends in-depth theoretical knowledge with practical insights, enabling delegates to understand the complexities of sanctions and apply best practices in real-world scenarios. Financial sanctions training provides significant value to sanctions specialists, financial crime professionals, risk managers, and executives responsible for overseeing their organisation’s sanctions risk exposures, helping them strengthen compliance frameworks and mitigate potential risks.

This course is available in virtual classrooms or can be delivered in-house.