Financial Regulation and Compliance Training Course

Participants can convert regulatory requirements into a maintained and owned obligations register.

• Obligations register fields: source, requirement, owner, control and evidence
• Distinguishing binding rules, supervisory guidance, industry codes and internal policy
• Legal entity, product and jurisdiction scoping for regulatory requirements
• Traceability links between obligations, policies, procedures and control evidence
• RACI matrices assigning first-line, compliance, risk and audit responsibilities
• Version control and review dates for regulatory obligation records

Participants can perform a risk-based assessment and prioritise compliance treatment actions.

• Inherent-risk scoring using product, customer, channel and jurisdiction factors
• Control-effectiveness ratings supported by design and operating evidence
• Residual-risk calculation and documented risk acceptance thresholds
• Risk appetite statements translated into measurable compliance limits
• Heat maps, risk registers and action plans for management review
• Scenario analysis for regulatory change, misconduct and financial-crime exposures

Participants can design the core components of an ISO 37301-aligned compliance management system.

• ISO 37301 compliance management system principles and governance requirements
• Policy hierarchy from board policy to frontline operating procedure
• Annual compliance plan built from risk assessment results
• Competence, training and attestation records for regulated roles
• Speak-up channels, non-retaliation safeguards and confidential case handling
• Document retention schedules aligned with legal and regulatory obligations

Participants can identify principal prudential requirements and their operational compliance implications for banks.

• Basel III capital structure: CET1, AT1, Tier 2
• Risk-weighted assets and capital adequacy ratio reporting mechanics
• Liquidity Coverage Ratio and Net Stable Funding Ratio controls
• Internal Capital Adequacy Assessment Process governance and documentation
• Stress testing assumptions, scenario selection and management challenge
• Large exposure limits, concentration risk and connected-counterparty controls

Participants can apply prudential and conduct controls to insurance product, underwriting and claims processes.

• Solvency capital, technical provisions and actuarial governance fundamentals
• Own Risk and Solvency Assessment reporting and challenge process
• Product governance controls from design through post-sale review
• Underwriting authority limits, referrals and exception approval records
• Claims-handling standards, fair treatment and settlement evidence
• Reinsurance counterparty oversight and risk-transfer documentation requirements

Participants can build risk-based customer due diligence workflows and identify escalation triggers.

• FATF Recommendations applied to customer identification and verification
• Beneficial ownership identification using ownership and control tests
• Customer risk ratings based on geography, activity and delivery channel
• Enhanced due diligence triggers for politically exposed persons
• Source-of-wealth and source-of-funds evidence assessment techniques
• Periodic review schedules driven by customer risk classification

Participants can assess sanctions exposures and establish defensible screening and escalation controls.

• Sanctions lists, sectoral restrictions and ownership rules distinguished
• Screening configuration: names, aliases, transliteration and matching thresholds
• False-positive disposition records and documented analyst decision rationale
• Payment screening controls for originators, beneficiaries and intermediary banks
• Trade-finance red flags involving goods, vessels and routing
• Sanctions escalation, account restrictions and regulatory reporting decisions

Participants can evaluate transaction-monitoring alerts and prepare defensible suspicious-activity escalation records.

• Transaction-monitoring scenarios aligned with documented money-laundering risk assessments
• Alert triage using customer profile, transaction pattern and corroborating evidence
• Typologies for structuring, mule accounts, trade laundering and fraud
• Case investigation chronology, evidence logs and quality-assurance review
• Suspicious activity report narratives using clear facts and rationale
• Confidentiality controls, tipping-off restrictions and information-access boundaries

Participants can assess fraud and corruption risks and specify preventive and detective controls.

• Fraud risk assessment covering internal, customer and third-party threats
• Segregation-of-duties matrices for payments, claims and account maintenance
• Red-flag monitoring for employee misconduct and collusive activity
• Gifts, hospitality and conflicts-of-interest declaration controls
• Third-party due diligence for agents, brokers and service providers
• Investigation protocols preserving evidence, confidentiality and procedural fairness

Participants can assess conduct risks across product design, sales, advice and customer servicing.

• Conduct-risk taxonomy covering sales, disclosures, advice and complaints
• Target-market assessment and product suitability control documentation
• Customer communications tested for clarity, fairness and balanced disclosure
• Sales incentives reviewed for foreseeable mis-selling risk
• Vulnerable-customer identification and reasonable-adjustment service procedures
• Fair-value assessments comparing price, benefits, exclusions and outcomes

Participants can design complaint-handling controls that identify root causes and deliver timely redress.

• Complaint classification separating service failure, conduct issue and systemic harm
• Case-handling timelines, acknowledgements and final-response quality requirements
• Root-cause analysis using five whys and cause-and-effect diagrams
• Redress calculations for fees, interest, claims and foregone benefits
• Complaint trend reporting by product, channel, cause and customer segment
• Closed-loop remediation linking findings to policy and process changes

Participants can identify data-governance controls required for regulated customer and compliance information.

• Personal-data inventory covering collection, processing, sharing and retention
• Lawful-basis assessment and purpose-limitation controls for customer data
• Access-control matrices for sensitive compliance investigation records
• Data-quality controls supporting regulatory reports and risk decisions
• Records retention, legal holds and defensible disposal procedures
• Third-party data-processing clauses, audits and breach notification responsibilities

Participants can assess outsourced-service compliance risks and establish accountable third-party oversight.

• Outsourcing materiality assessment based on service criticality and substitutability
• Due diligence covering capability, financial standing, controls and jurisdiction
• Contract clauses for audit rights, data protection and regulatory access
• Service-level indicators, breach thresholds and provider performance reporting
• Exit plans, transition testing and concentration-risk mitigation measures
• Operational-resilience impact tolerances for important business services

Participants can manage regulatory change from horizon scanning through implementation assurance.

• Horizon-scanning sources: regulators, consultations, enforcement actions and industry bodies
• Regulatory change impact assessment across products, processes and systems
• Change inventory with owners, milestones, dependencies and evidence requirements
• Policy-gap analysis comparing new obligations against current controls
• Implementation testing before effective dates and regulatory deadlines
• Post-implementation review validating adoption, training and control performance

Participants can plan and perform proportionate monitoring and control testing activities.

• Risk-based monitoring plan linked to compliance risk assessment results
• Control design testing through walkthroughs, documentation and owner interviews
• Operating-effectiveness testing using samples, populations and clear criteria
• Sampling methods: random, judgmental, targeted and stratified selection
• Findings rated by impact, likelihood, root cause and recurrence
• Quality assurance reviews improving testing consistency and challenge

Participants can manage regulatory breaches from detection through closure and lessons learned.

• Breach criteria distinguishing incidents, near misses and reportable events
• Initial triage assessing customer harm, financial impact and regulatory deadlines
• Investigation plans defining scope, evidence sources and decision authorities
• Root-cause analysis separating human, process, system and governance failures
• Remediation plans with accountable owners, milestones and validation tests
• Regulator notifications balancing timeliness, accuracy and ongoing investigation constraints

Participants can prepare reliable regulatory reports and manage supervisory requests professionally.

• Regulatory-reporting calendar covering prudential, conduct and financial-crime returns
• Data lineage from source systems through calculations to submissions
• Management attestations, reconciliations and sign-off evidence for returns
• Supervisory information requests scoped, assigned and tracked to closure
• Meeting preparation using issue summaries, evidence packs and accountable owners
• Remediation commitments documented with realistic dates and progress reporting

Participants can produce decision-useful compliance reporting for executive and board oversight.

• Key risk indicators for financial crime, conduct and regulatory change
• Thresholds, trends and tolerances presented with clear management actions
• Board reports distinguishing assurance, incidents, emerging risks and decisions
• Risk appetite breaches escalated through defined governance committees
• Dashboard design avoiding misleading aggregation and unsupported assurance claims
• Minutes and action logs documenting challenge, decisions and follow-through

Participants can build, review and present a complete compliance programme for a regulated financial-services business.

• Define business scope, regulatory perimeter and accountable senior management
• Construct obligations register for selected banking or insurance activities
• Assess inherent risks, existing controls and residual-risk priorities
• Design financial-crime, conduct and third-party control workflows
• Prepare monitoring plan, breach process and regulatory-change governance
• Present board dashboard, remediation priorities and supervisory evidence pack