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Matter and Transaction Risk Assessment

Even when a client is low or medium risk, a particular instruction can be high risk because of what is being done, how it is structured, or how money will move. This course shows fee earners and supervisors how to assess risk at matter level, tailor controls accordingly, and know when to escalate.

Online, self-paced learning

Dynamic pace adjusted to knowledge level

Customised learning path for each user

Identifies and addresses knowledge gaps

Measures actual competence, not just activity

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Course Overview

Even when a client is low or medium risk, a particular instruction can be high risk because of what is being done, how it is structured, or how money will move. This course shows fee earners and supervisors how to assess risk at matter level, tailor controls accordingly, and know when to escalate. Using contrasting acquisition scenarios, learners see how similar clients can generate very different levels of matter risk.

Who Should Take This Course

Fee earners in corporate, commercial, real estate, private client and banking work

Supervisors, partners and heads of department who review files and sign off transactions

Risk, compliance and MLRO teams who design and oversee AML frameworks

Onboarding and operations staff involved in opening, pricing and monitoring matters

What You'll Learn

  • What matter and transaction risk assessment is, and how it builds on the firm-wide risk assessment and client risk profile
  • Why a low-risk client can nonetheless present a high-risk matter—and why matter-level judgement is critical
  • A high-risk scenario involving GreenFields Landscaping, where pricing, structure, fragmented payments and compressed timelines all raise transaction risk
  • A contrasting low-risk scenario involving Sterling Imports, where structure, valuation, payment flows and timeline are straightforward and well-evidenced
  • Key drivers of matter risk: type of work, size and value, structural complexity, jurisdictions involved, payment flows, timing and pressure, and commercial rationale
  • How to rate matters as Low, Medium or High risk and what each rating means for due diligence, supervision and documentation
  • How to document matter risk assessments clearly in the file, including risk factors, rationale, rating and agreed controls
  • Tailoring controls to matter risk: when enhanced due diligence, additional evidence, partner oversight or extended timelines are required
  • When and how to revisit matter risk as new parties, payment routes or structures emerge, or the commercial story changes
  • The respective roles of fee earners and supervisors, and when escalation to compliance or the MLRO is essential

Key Learning Outcomes

By the end of this course, you will be able to:

  1. Explain the purpose of matter and transaction risk assessment and how it differs from client risk assessment.
  1. Apply a structured set of drivers (work type, size, complexity, jurisdictions, payment flows, timing and commercial rationale) to any new instruction.
  1. Distinguish between low-, medium- and high-risk matters using realistic GreenFields and Sterling case studies.
  1. Record a clear matter risk assessment on file, including rationale for the rating and the controls to be applied.
  1. Tailor due diligence, supervision and timelines to the level of matter risk rather than treating all transactions the same.
  2. Recognise trigger events that require matter risk to be revisited during the life of a file.‍
  3. Identify when a matter must be escalated to compliance or the MLRO and support a decision to decline work where risks cannot be mitigated.

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Why This Course Matters

Regulators increasingly expect firms to show that they understand not just which clients are risky, but which individual matters demand extra scrutiny. This course helps your teams turn high-level AML principles into concrete judgements on live files. By assessing each matter on its own merits, documenting decisions, and escalating where necessary, your firm can safely handle complex transactions while protecting itself from being drawn into financial crime.

Global Clients:

Please email for buying assistance: hello@denkenknowledge.com

What people say

Don't just take our word for it. See what other people who completed our course have to say and how it changed their life.

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£ 75 

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Frequently asked questions

Have a look at most frequently asked questions.

Is there a minimum or maximum team or class size?

Denken is designed to support teams or classes of any size, whether you’re a small firm or a large organisation. There’s no minimum or maximum: we adapt to your needs.

Can I pay by invoice or Purchase Order?

Yes, you can pay for our courses and series of modules via Invoice. Please use the Contact form to make an enquiry, and we will email over an invoice when you're ready. Please note, we do not accept purchase orders as a payment method.

Can I pay by credit card?

Yes, we use Stripe for online credit card payments. Details will be visible on your invoice.

Is there Client and Learner support available?

Yes, we are here to help every step of the way, both as a client and a learner using our platform.

How do I access course materials?

Course materials can be accessed through our platform dashboard once you or your learners have been enrolled. Each learner will receive a Welcome Email with full instructions.

Can I get a refund for a course?

You may cancel your course booking at any time before payment has been made by emailing us at hello@denkenknowledge.com. Once you have accessed your course on our platform no refunds will be made.

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