Zoe Dixon-Smith
Compliance Consultant. Baker Regulatory, Jersey
Zoe Dixon-Smith is a Compliance Consultant at Baker Regulatory Services.
Training
Our expert training team collectively has decades of experience working across the regulated finance services industry in client facing roles, as board directors, as well as in legal, risk, compliance and financial crime prevention roles.
Problem
Adequate regulatory, corporate governance and anti-money laundering, countering the financing of terrorism and countering proliferation financing (AML/CFT/PF) training continues to be a time consuming challenge for regulated businesses and individuals, with varying levels of understanding across employees.
Solved
Our dedicated Regulatory Team provides relevant and effective training for all levels of your business, helping you achieve a consistent and up to date approach to compliance with regulatory requirements, corporate governance as well as AML/CFT/PF legislation.
The team has significant practical experience in the industry, the regulator and law enforcement. They have been involved in submitting and receiving thousands of suspicious activity reports during their careers and leading both criminal investigations and regulatory investigations. They have both led and received regulatory visits covering all aspects of regulation. The team is on hand to deliver training to and mentoring of all employees, including Boards, Compliance Officers, MLROs and MLCOs, with sessions available both in person and virtually.
Training offered by Baker Regulatory Services
- One-to-one training for new Compliance Officers, MLROs, MLCOs and compliance employees and refresher training.
- Identifying AML/CFT/PF typologies relevant to your sector and how to mitigate your risk.
- The requirements of the AML/CFT/PF regulations in relation to your business.
- Undertaking effective transaction monitoring.
- The details and your obligations under regulations, Codes of Practice, policies and guidance issued by your regulator in relation to your business.
- A detailed explanation of civil penalty regimes.
- How to conduct effective internal investigations.
- How to prepare to give evidence in Court.
- Effective board reporting and corporate governance.
- Reducing your regulatory risk exposure.
- A detailed explanation of countering proliferation financing training.
Thank you for providing such highly relevant training backed up with practical examples, the attendees were very engaged.