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Regulatory Compliance for Banking
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The Regulatory Compliance for Banking course provides banking and financial professionals with a comprehensive understanding of the regulatory landscape governing financial institutions.
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Course Duration
5 Days
Course Details
The Regulatory Compliance for Banking course provides banking and financial professionals with a comprehensive understanding of the regulatory landscape governing financial institutions. Compliance plays a crucial role in ensuring financial stability, mitigating risks, and protecting institutions from legal and reputational damage. This course explores key global and regional banking regulations, compliance frameworks, and best practices for maintaining adherence to evolving regulatory requirements.
Over five days, participants will learn about major financial regulations such as Basel III, the USA PATRIOT Act, the Dodd-Frank Act, and GDPR. The course covers critical areas, including risk management, anti-money laundering (AML), data protection, corporate governance, and regulatory reporting. Through case studies, discussions, and hands-on exercises, participants will develop the skills needed to navigate complex compliance challenges and implement robust regulatory strategies within their organizations.
By the end of this course, learners will be able to:
- Understand the importance of regulatory compliance in banking and financial services.
- Identify key banking regulations, including Basel III, FATF guidelines, and local compliance laws.
- Implement compliance frameworks to manage financial, operational, and reputational risks.
- Ensure adherence to AML, KYC, and anti-fraud regulations.
- Develop regulatory reporting mechanisms and internal compliance policies.
- Understand the impact of data protection laws such as GDPR on financial institutions.
- Evaluate the role of compliance officers in risk management and corporate governance.
- Explore emerging compliance challenges, including digital banking regulations and cybersecurity risks.
By the end of this course, learners will be able to:
- Understand the importance of regulatory compliance in banking and financial services.
- Identify key banking regulations, including Basel III, FATF guidelines, and local compliance laws.
- Implement compliance frameworks to manage financial, operational, and reputational risks.
- Ensure adherence to AML, KYC, and anti-fraud regulations.
- Develop regulatory reporting mechanisms and internal compliance policies.
- Understand the impact of data protection laws such as GDPR on financial institutions.
- Evaluate the role of compliance officers in risk management and corporate governance.
- Explore emerging compliance challenges, including digital banking regulations and cybersecurity risks.
Course Outline
5 days Course
Introduction to Banking Regulations and Compliance Frameworks
- The role of compliance in the banking sector
- Overview of global and regional banking regulations
- Understanding Basel Accords (Basel I, II, III) and their impact on banking stability
- Key financial crime prevention laws (AML, CFT, FATCA, and CRS)
- Case study: Regulatory failures and their consequences
Risk Management and AML Compliance
- Identifying financial, operational, and compliance risks
- Overview of AML and Know Your Customer (KYC) regulations
- Implementing internal controls and risk mitigation strategies
- Customer due diligence (CDD) and transaction monitoring
- Practical exercise: Conducting a risk assessment on a banking institution
Regulatory Reporting and Corporate Governance
- Understanding regulatory reporting obligations for financial institutions
- The role of corporate governance in compliance and risk management
- Responsibilities of compliance officers and internal auditors
- Best practices in regulatory reporting and financial disclosures
- Case study: Corporate governance failures in banking
Data Protection, Cybersecurity, and Digital Banking Compliance
- Data protection laws (GDPR, CCPA) and their impact on banking
- Cybersecurity threats and financial fraud prevention
- Regulatory challenges in digital banking and FinTech compliance
- The role of AI and blockchain in regulatory compliance
- Practical exercise: Developing a compliance framework for digital banking
Emerging Trends and the Future of Regulatory Compliance
- The evolution of banking regulations and new compliance challenges
- Adapting to changes in global financial regulations
- Compliance best practices for financial institutions
- Strengthening internal policies and audit procedures
- Course review, assessment, and certification
