Compliance Officer Program in Ecuador — APLA Academy

Develop the technical, regulatory, and analytical skills needed to effectively perform the role of Compliance Officer in AML/CTF prevention. You will learn to structure risk matrices, draft internal policies, manage alerts, and report properly to the authorities. A 100% updated program, including the latest reforms to the Organic Law for the Prevention, Detection, and Combating of Money Laundering and the Financing of Other Crimes.

Duration and certification

40 academic hours, with a digital certificate issued by Líderes APLA. Classes are live; if you cannot attend, they are recorded in the virtual classroom, along with updated regulations, presentations, and all downloadable course material.

Digital material included

• SPARLAFTD Matrix template.
• AML/CTF prevention manual structure.
• Annual Work Plan template.
• Annual Compliance Report (IAC) template.
• Suspicious Transaction Report (STR) template.
• RESU (Ecuador's Unusual and Unjustified Transaction Report) structure.

Course content (syllabus)

1. Money laundering, terrorist financing, and other crimes — origins of money laundering, predicate offenses, terrorist financing, penalties, organized crime, financing of the proliferation of weapons of mass destruction, case analysis.
2. Identifying obligated entities (updated regulations) — regulatory framework, obligated entities in the financial sector, in the non-financial sector, entities without a supervisory body, penalties for non-compliance.
3. Compliance Officer — requirements and prohibitions, duties and responsibilities, administrative penalties, criminal liability.
4. Compliance Officer qualification and registration process — qualification before the supervisory body (SCVS, SEPS, SB), UAFE registration code, change of compliance officers, hands-on application exercise.
5. Preparing the annual activity plan — activities for the fiscal year, delegation of duties, performance indicators, hands-on exercise.
6. Preparing the activity report — compliance monitoring, effectiveness indicators, report structure.
7. RESU Reports — transactions and operations to be reported, report structure, catalogs by sector, validation in the UAFI application, use of SISLAFT, report reprocessing.
8. Preparing the SPARLAFTD risk matrix — what AML/CTF risk is, associated risks, management process based on international standards, identification, assessment and measurement, control measures, monitoring, documentation, hands-on exercise.
9. Preparing the customer risk matrix — risk variables, inherent and residual risk, control effectiveness, risk factors (customer, product, geographic area, channel, transaction volume), risk profile, hands-on workshop.
10. Preparing the money laundering prevention manual — policies and procedures, implementation, information gathering, delegation of responsibilities, manual structure.
11. Due diligence and politically exposed persons (PEPs) — what they are, types of PEPs, identification, risks and red flags, watch lists, information verification, supporting documents.
12. Suspicious Transaction Reports (STR) — unusual and suspicious transactions, types of STR, principles and characteristics, evidence, RIA report, UN report, hands-on exercise.

Instructor

Program taught by Víctor Salinas, instructor at Líderes APLA — see his full profile on the Instructors page.

Program benefits

• Training with current regulations for each economic sector.
• Applying the regulations through hands-on workshops.
• Practical tools for implementing the AML/CTF/PF prevention system.
• Exclusive access to the Líderes APLA student group.

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