Bank and Financial Institution Fraud




5 days


15 – 19 Jul, 25 – 29 Nov, 8 – 12 Apr, 26 -30 Aug, 11 -15 Mar 2019




Holiday Inn Express Hotel 1 Priddys Yard Croydon CR0 1TS

Course Objective:

In this eye-opening seminar you will cover in depth fraud schemes committed by employees, vendors, and customers of financial institutions, including rogue trading embezzlement and external frauds. In addition, you will look at such computer-assisted fraud schemes as spear phishing and network penetration.

You will learn strategies and techniques you can use to identify and investigate potential perpetrators and examine internal vulnerabilities that may increase opportunities for fraud in your institution. You will explore due diligence and “know-your-client” processes and learn how to apply these concepts to mitigate risks. You will discover how data analytics can be used as both a preventive and investigative tool.

Who should attend

Bank and Financial Institution Auditors, Audit Directors, and Audit Managers; External Auditors; Bank and Financial Institution Accountants; Fraud Investigators and Members of Special Investigations Units

What You Will Learn

  • The Psychology of White Collar Crime
  • Fraud Schemes
  • Computer-Assisted Frauds
  • Legislation
  • Managing the Investigation
  • General Prevention Methodologies
  • Victim Psychology

This course can also be taken in

Accra: 13 – 17 May, 9 -13 Sep, 9 – 13 Dec, 4 – 8 Feb, 22 – 26 Apr 2019

Dubai:  5 – 9 Aug, 9 -13 Sep, 7 – 11 Oct, 2 – 6 Dec, 4 – 8 Feb 2019

Texas: on request

Course Content

The Psychology of White Collar Crime

  • why they do what they do
  • personality traits to be wary of
  • understanding psychological flaws and the impact of adverse life events
  • the interviewer’s interaction with different psychological profiles

Fraud Schemes

  • rogue trading
  • the fall of Bearing Banks, unlearned lessons?
  • lessons learned from Allied Irish Banks
  • Societe Generale: Past, present and futures
  • dormant accounts
  • is private banking too private?
  • can you know your customer too well
  • privacy concerns
  • infrequent access
  • embezzlement
  • cash access
  • value of information
  • external frauds
  • asset Valuation and loan fraud
  • identity theft and payment systems: phishing
  • what to look for: red flags and patterns
  • investigation steps
  • prevention and controls
  • impact

Computer-Assisted Frauds

  • social engineering
  • network penetration
  • spear phishing


  • anti-money laundering
  • Foreign Corrupts Practices Act
  • sanctions and regulating bodies

Managing the Investigation

  • terminology
  • investigation life cycle
  • investigative and interviewing techniques
  • trend analysis
  • computer-assisted auditing tools
  • continuous auditing
  • statistical analysis
  • variance analysis

General Prevention Methodologies

  • conflict of interest reporting
  • awareness training
  • tone at the top
  • policies
  • fraud awareness programs
  • hotline management

Victim Psychology

  • traits that make financial institutions and their customers vulnerable
  • misplaced trust
  • social engineering
  • corporate culture
  • too-good-to-be-true events
  • financial sophistication

Book this course

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Bank and Financial Institution Fraud

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