Financial Services Regulatory Compliance Training Course

This course equips participants with a practical understanding of regulatory compliance across the financial services sector. It focuses on banking, insurance, capital markets, and payments regulation, conduct standards, reporting obligations, and compliance program implementation.

Target Groups

• Compliance officers across financial institutions
• Risk managers and internal auditors
• Legal and regulatory advisors
• Fintech, payments, and insurance professionals
• Senior managers and directors
• Regulators and supervisory staff
• 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:

• Describe the structure of financial services regulation
• Distinguish prudential and conduct requirements
• Apply licensing and governance requirements
• Meet customer protection and market conduct standards
• Comply with AML and sanctions obligations
• Manage data protection and cybersecurity obligations
• Complete regulatory reporting accurately
• Respond effectively to regulatory inspections
• Implement a compliance management framework
• Monitor emerging regulatory developments

Course Modules

Module 1: Financial Services Regulatory Landscape

• Sectors and regulators
• Regulatory objectives
• Global standards
• Cross-border considerations
• Regulatory perimeter

Module 2: Licensing, Governance, and Fit-and-Proper Requirements

• Licensing conditions
• Corporate governance rules
• Fit-and-proper tests
• Senior manager accountability
• Outsourcing requirements

Module 3: Prudential Regulation Essentials

• Capital adequacy basics
• Liquidity requirements
• Risk management expectations
• Stress testing
• Supervisory review

Module 4: Conduct of Business and Consumer Protection

• Fair treatment of customers
• Disclosure and advice standards
• Product governance
• Complaint handling
• Market abuse

Module 5: AML, Sanctions, and Financial Crime

• AML obligations
• Customer due diligence
• Sanctions compliance
• Fraud and bribery risks
• Reporting duties

Module 6: Insurance, Capital Markets, and Payments Regulation

• Insurance regulatory requirements
• Securities market rules
• Payment services regulation
• Fintech and digital assets
• Sector-specific obligations

Module 7: Data Protection, Cyber, and Operational Resilience

• Data privacy laws
• Cybersecurity expectations
• Operational resilience
• Third-party risk
• Incident reporting

Module 8: Regulatory Reporting and Recordkeeping

• Reporting calendars
• Data accuracy and controls
• Record retention
• Audit trails
• Regulatory submissions

Module 9: Compliance Programs and Regulatory Inspections

• Compliance framework design
• Monitoring and testing
• Preparing for inspections
• Managing findings
• Enforcement trends

Module 10: Practical Exercises and Capstone Project

• Mapping regulatory obligations for a sample institution
• Building a compliance calendar
• Assessing a conduct risk scenario
• Preparing for a mock inspection
• Presenting a compliance action plan