Banking Compliance and Regulatory Risk Management Training Course

This course equips participants with the skills to manage compliance and regulatory risk in banking. It focuses on regulatory frameworks, compliance programs, monitoring and testing, regulatory change management, and engagement with supervisors.

Target Groups

• Bank compliance officers and managers
• Risk and internal audit professionals
• Senior bank managers and executives
• Legal and regulatory affairs staff
• Board and committee members
• Staff of microfinance institutions and SACCOs
• Managers and supervisors seeking to strengthen organizational practice in this field
• Consultants and professionals supporting related organizations

Course Objectives

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

• Explain the banking regulatory environment
• Describe the role of the compliance function
• Perform compliance risk assessments
• Design compliance policies and controls
• Monitor and test compliance effectiveness
• Manage regulatory change and horizon scanning
• Handle regulatory reporting accurately
• Apply AML, conduct, and prudential requirements
• Manage breaches and regulatory relationships
• Build a strong compliance culture

Course Modules

Module 1: Banking Regulatory Environment

• Sources of banking regulation
• Prudential and conduct regulation
• Role of regulators and standard setters
• Licensing and supervision
• Regulatory trends

Module 2: The Compliance Function

• Mandate and independence
• Three lines of defense
• Roles and responsibilities
• Reporting lines
• Compliance charter

Module 3: Compliance Risk Assessment

• Identifying compliance obligations
• Risk rating methods
• Inherent and residual risk
• Compliance risk register
• Prioritizing resources

Module 4: Policies, Procedures, and Controls

• Policy framework
• Control design
• Embedding controls in processes
• Documentation standards
• Policy reviews

Module 5: Compliance Monitoring and Testing

• Monitoring plans
• Testing methodologies
• Sampling and evidence
• Issue tracking
• Reporting results

Module 6: Regulatory Change Management

• Horizon scanning
• Impact assessment
• Implementation planning
• Change governance
• Tracking regulatory obligations

Module 7: Regulatory Reporting and Supervisory Engagement

• Prudential and statutory returns
• Data quality controls
• Supervisory visits
• Responding to queries
• Remediation tracking

Module 8: AML, Conduct, and Prudential Overlap

• AML program interface
• Customer conduct standards
• Capital and liquidity rules awareness
• Conflicts of interest
• Whistleblowing

Module 9: Breach Management and Compliance Culture

• Breach identification
• Investigation and escalation
• Sanctions and consequences
• Training and awareness
• Tone from the top

Module 10: Practical Exercises and Capstone Project

• Conducting a compliance risk assessment
• Designing a monitoring plan
• Reviewing a regulatory change
• Handling a mock breach
• Presenting a compliance report to a mock board committee