Banking Corporate Governance and Compliance Training Course

Participants can assess board composition, director responsibilities and effectiveness evidence.

• Director fiduciary duties, care standards and collective accountability
• Independence criteria for non-executive directors and committee chairs
• Skills matrices covering banking, risk, technology, finance and conduct
• Board induction, continuing education and succession planning controls
• Annual board effectiveness reviews using interviews, evidence and action plans
• Meeting agendas structured around decisions, oversight and strategic challenge

Participants can map governance bodies, delegated authorities and escalation paths.

• Governance maps linking boards, committees, executives and control functions
• Delegated authority matrices defining approvals, limits and reserved matters
• RACI analysis for key risk, control and compliance decisions
• Legal entity governance across parent banks, subsidiaries and branches
• Management committees aligned with board oversight and decision cadence
• Escalation routes for breaches, incidents, emerging risks and exceptions

Participants can draft practical committee mandates with clear scope and authority.

• Audit committee responsibilities for financial reporting, controls and assurance
• Risk committee mandates covering appetite, exposures and risk strategy
• Compliance committee responsibilities for obligations, breaches and remediation
• Remuneration committee oversight of incentives, malus and conduct outcomes
• Quorum, voting, conflicts and minute requirements within committee charters
• Annual committee workplans linked to reporting cycles and regulatory deadlines

Participants can construct a risk appetite structure for board approval and monitoring.

• Risk appetite statements connecting strategy, capital, liquidity and conduct
• Quantitative limits, qualitative statements and early warning indicators
• Risk taxonomy covering credit, market, liquidity, operational and conduct risks
• Threshold calibration using capacity, tolerance, appetite and target ranges
• Breach escalation protocols specifying owners, timelines and remediation decisions
• Board dashboards showing trend, limit utilisation, exceptions and management actions

Participants can allocate ownership, oversight and assurance responsibilities across three lines.

• IIA Three Lines Model applied to banking accountability structures
• First-line ownership of products, customers, controls and operational risks
• Second-line challenge by risk, compliance and financial crime functions
• Third-line assurance independence, audit planning and reporting rights
• Avoiding duplicated testing, assurance gaps and unclear control ownership
• Control function access to boards, committees and protected escalation channels

Participants can assess control design and testing evidence using COSO principles.

• COSO Internal Control framework: environment, risk assessment, activities, information, monitoring
• Preventive, detective and corrective controls mapped to material risks
• Control objectives written with risk events, actions and evidence
• Walkthroughs tracing transactions, approvals, system controls and reconciliations
• Design effectiveness testing against policy requirements and process realities
• Operating effectiveness evidence from samples, exceptions and issue records

Participants can design a compliance management system with accountable monitoring and reporting.

• ISO 37301 principles applied to banking compliance management systems
• Regulatory obligation registers linking requirements, owners, controls and evidence
• Compliance risk assessments prioritising customer, prudential and reporting exposures
• Annual compliance plans based on risk ratings and regulatory change
• Monitoring programmes defining scope, samples, testing steps and reporting
• Breach registers recording root cause, impact, remediation and notifications

Participants can manage regulatory change and prepare structured supervisory responses.

• Regulatory horizon scanning using source registers and impact assessments
• Change governance assigning sponsors, owners, milestones and control validation
• Supervisory correspondence logged through commitments, deadlines and accountable executives
• Regulatory examinations prepared with evidence inventories and response protocols
• Management action plans addressing findings, root causes and validation
• Constructive challenge during supervisory meetings, inspections and thematic reviews

Participants can establish governance controls that identify and address conduct risks.

• Conduct risk frameworks linking behaviours, incentives, products and customer outcomes
• Product governance approvals covering target markets, value and foreseeable harm
• Customer complaint data analysed for root causes and systemic issues
• Sales incentive controls addressing pressure, mis-selling and unsuitable products
• Vulnerable customer governance through policies, training, monitoring and escalation
• Conduct dashboards combining complaints, cancellations, errors and remediation indicators

Participants can define board oversight and control responsibilities for financial crime risk.

• Financial crime governance covering money laundering, sanctions, fraud and bribery
• Board-approved financial crime risk appetite and tolerance statements
• Customer risk assessments using products, geographies, channels and behaviour
• Transaction monitoring governance for alerts, investigations and suspicious activity reports
• Sanctions control oversight covering screening, escalation and payment holds
• Financial crime reporting lines, independence and management information requirements

Participants can identify governance requirements for core prudential risk decisions.

• Credit approval authorities, portfolio limits and independent credit challenge
• Impairment governance for models, overlays, judgements and audit trails
• Capital planning oversight through ICAAP assumptions, stress testing and buffers
• Liquidity governance through ILAAP, contingency funding and survival horizons
• Asset liability committee mandates for funding, pricing and interest-rate risk
• Model risk governance covering validation, approval, change and performance monitoring

Participants can oversee operational resilience, cyber risk and technology dependencies.

• Important business services identified through customer, prudential and market impact
• Impact tolerances set for disruption duration, volume and customer harm
• Scenario testing for cyber incidents, payment outages and third-party failures
• Technology governance covering architecture, change approvals and system access
• Cyber risk reporting using threat, vulnerability, control and incident metrics
• Operational incident reviews linking root cause, lessons and remediation ownership

Participants can govern outsourced services through risk assessment, controls and exit planning.

• Outsourcing inventories distinguishing material, critical and non-critical service arrangements
• Due diligence covering financial strength, security, resilience and subcontracting
• Contract clauses for audit rights, service levels and incident notification
• Third-party risk assessments scored by concentration, criticality and substitutability
• Ongoing vendor monitoring using performance, control and financial indicators
• Exit strategies covering data return, service continuity and transition testing

Participants can implement governance controls for conflicts, connected dealings and ethical decisions.

• Conflict-of-interest registers recording interests, recusal decisions and attestations
• Related-party transaction policies defining approvals, pricing and disclosure requirements
• Connected lending controls separating business sponsorship from credit decisions
• Gifts, hospitality and outside interests assessed through approval thresholds
• Whistleblowing arrangements protecting confidentiality, investigation independence and non-retaliation
• Ethics frameworks linking values, expected behaviours and disciplinary consequences

Participants can align remuneration and accountability arrangements with prudent risk-taking.

• Remuneration governance linking compensation outcomes to risk-adjusted performance
• Balanced scorecards incorporating financial, customer, control and conduct measures
• Malus and clawback provisions for misconduct, losses and control failures
• Senior manager accountability maps documenting prescribed responsibilities and delegations
• Fitness and propriety assessments for directors and senior management
• Performance reviews incorporating risk events, audit findings and compliance outcomes

Participants can prepare concise board reporting that supports oversight and challenge.

• Board paper templates separating decision requests, evidence, risks and recommendations
• Executive summaries stating material issues, choices and required board action
• Key risk indicators designed with thresholds, trends and accountable owners
• Management information quality tests for accuracy, completeness, timeliness and relevance
• Exception reporting highlighting breaches, ageing actions and residual exposures
• Minutes documenting challenge, decisions, dissent and follow-up commitments

Participants can govern material issues from identification through verified closure.

• Issue management taxonomies classifying severity, impact, root cause and ownership
• Material incident escalation criteria for boards, regulators and affected customers
• Root cause analysis using five whys, fault trees and causal mapping
• Remediation plans defining actions, milestones, resources, dependencies and success measures
• Independent validation testing closure evidence before issue declassification
• Lessons-learned reporting feeding policies, controls, training and risk assessments

Participants can coordinate assurance plans while preserving internal audit independence.

• Risk-based internal audit planning aligned with enterprise risk assessments
• Audit universe design covering entities, products, processes and technology
• Assurance mapping across management testing, compliance reviews and internal audit
• Audit findings rated by significance, root cause and remediation urgency
• Audit committee reporting on coverage, independence, resources and overdue actions
• Quality assurance reviews supporting consistent audit methodology and evidence

Participants can establish governance arrangements for stressed conditions and recovery actions.

• Crisis management structures defining authority, communications and decision records
• Recovery plan triggers linked to capital, liquidity and operational resilience
• Emergency board meetings managed through information discipline and delegated authority
• Stakeholder communications for regulators, customers, investors and staff
• Decision logs capturing assumptions, approvals, actions and subsequent review
• Post-crisis governance reviews identifying control failures and capability gaps

Participants can build, review and present a complete bank governance and compliance improvement plan.

• Current-state governance assessment using documented roles, controls and reporting evidence
• Material gap analysis against board accountabilities, risk appetite and compliance requirements
• Target governance map with committees, decision rights and escalation routes
• Prioritised remediation roadmap assigning owners, milestones, dependencies and success measures
• Board reporting pack containing indicators, breaches, actions and decision requests
• Peer review against supervisory expectations, control evidence and implementation feasibility