Advanced Sanctions - Securities & Investments

The sanctions course trainer, MBA FCCA, is an investment banking governance, audit, risk and global sanctions compliance specialist who has extensive international experience. He holds an MBA from CASS Business School, London and is a Chartered Certified Accountant.

He worked for Price Waterhouse in Kingston, Jamaica prior to arriving in London just after Big Bang in 1986 and subsequently worked for a number of major institutions including Manufacturers Hanover Trust, Continental Bank, CIBC and ABN AMRO. His roles have included internal audit, product control, risk management and SOX (Sarbanes-Oxley Act).

In addition to gaining experience in the major global financial centres, the above roles covered all aspects of regulation, governance and internal controls over the origination, sales and trading of a broad range of investment banking and capital market products. These products include: credit trading and credit derivatives; asset securitisation and structured finance; foreign exchange and foreign exchange options; interest rate derivatives; commodities and treasury.

He has also served as a business manager where he played a leading role in the development and implementation of major strategic initiatives within global banking and markets. This was followed by the delivery of a training and cultural change programme in alignment with that strategy, across 50 countries.

The trainer currently focuses on delivering financial crime courses for major banks (HSBC, Soc Gen, RBS, Lloyds, Nordea and Handelsbanken) covering AML, Sanctions, Tax Evasion, Terrorist Financing Bribery & Corruption, as well as their related governance aspects. This delivery encompassed frontline staff and senior managers across global, private, corporate and retail banking in the UK, Europe, Asia, Middle East, Africa, US and the Americas.

He has also run train the trainer (TTT) courses and presented in front of US regulators. In addition, he delivers training programmes in Audit, Operational Risk, Treasury, Basel III, Liquidity Management, Capital Management and the Internal Capital Adequacy Assessment Process (ICAAP).

• The course objectives are to analyse and develop a critical understanding of the impact of sanctions on securities, financing and investments, within the context of related capital market / wholesale banking products and related services
• The sanctions webinar will focus on both major and other relevant sanctions regimes, where there are specific securities, finance and investment sanctions risks, including
  • EU, US & UK Sanctions on Russia
  • EU, US & UK Sanctions on Belarus
  • Iran, North Korea, Syria & Cuba
  • China, Venezuela & Myanmar
  • Other Relevant Programmes

• Our sanctions compliance training will provide a systematic and comprehensive analysis of the impact of sanctions on securities, financing, investments and related products and services.
• Special emphasis is placed on OFAC (Office of Foreign Assets Control) Russian sanctions and is regularly updated to reflect the most recent changes.
• The sanctions compliance training will be interactive and include many practical aspects of the application of sanctions to securities and investment activities.
• The course is delivered by a trainer with 8 years of experience in training financial crime for major banks across the globe, as well as extensive involvement in the capital markets, having worked as a business manager in the global financial markets divisions of ABN(Algemene Bank Nederland) AMRO (Amsterdamsche en Rotterdamsche Bank) and CIBC (Canadian Imperial Bank of Commerce).

Our advanced sanctions compliance course is a perfect fit for the following staff:

• Banks, assets managers, hedge funds, brokers and other financial institutions including: 
• 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
• Exchanges, Multilateral Trading Facilities and Depositories
• Oil companies and Multinationals

Our financial sanctions training is designed to improve your awareness and knowledge of sanctions risks in issuing, trading, selling or facilitating securities transactions.

It focuses on the specific US & EU sanctions regimes and the practical differences and difficulties in their implementation. Ofac sanctions training will be of significant benefit to sanctions specialists, financial crime specialists and other risk professionals, as well as executives and managers who have a responsibility for managing securities and investments in a range of financial institutions.