About this Event
Group Discounts:
Save 10% when registering 3 or more participants
Save 15% when registering 10 or more participants
About the course:
Duration: 1 Full Day (8 Hours)
Delivery Mode: Classroom (In-Person)
Language: English
Credits: 8 PDUs / Training Hours
Certification: Course Completion Certificate
Refreshments: Lunch, Snacks and beverages will be provided during the session
Course Overview:
This course provides an essential introduction to compliance principles and ethical practices within the banking environment. You will explore the foundations of regulatory expectations, ethical conduct, reporting requirements, and everyday compliance responsibilities that support a secure and trustworthy banking system. The training simplifies key concepts and highlights practical behaviours, risk awareness, and ethical decision-making to help you operate with integrity and confidence. By the end of the session, you will clearly understand your compliance duties and how to uphold the highest ethical standards in daily banking operations.
Learning Objectives:
By the end of this course, you will:
- Understand the purpose and value of compliance in banking.
- Recognize ethical standards and apply them in workplace decisions.
- Follow regulatory basics, internal policies, and reporting procedures confidently.
- Identify risks, misconduct signs, and prevention strategies.
- Handle customer information securely and responsibly.
- Respond appropriately to suspicious activities and escalate them correctly.
- Strengthen your professionalism and ethical approach to banking operations.
Target Audience:
Bankers, auditors, operations teams.
Why is it the Right Fit for You?
This course is designed to help you build a strong foundation in compliance and ethical behaviour, which are essential in today’s banking environment. You will learn practical, real-world concepts that can be applied immediately in your daily responsibilities. Our approach simplifies complex regulations, making them easy to understand and implement. The training combines interactive learning with clear examples to enhance comprehension and workplace readiness. By the end of the session, you will feel more confident in making ethical decisions and maintaining regulatory compliance.
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Our Royalty Referral Program
Know a team or professional who could benefit from our workshops? Refer them and earn attractive royalties for every successful registration.
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Looking to strengthen your team’s compliance culture?
We offer in-house training tailored to your organization’s policies, operations, and risk areas. Whether your team needs support with ethical decision-making, reporting procedures, or regulatory awareness, we customize the content to ensure maximum relevance. This ensures your employees gain the practical knowledge and confidence required to uphold compliance across the organization.
📧 Contact us today to schedule a customized in-house session:
Agenda
Module 1: Introduction to Compliance in Banking
Info:
• Understanding compliance and its importance
• Regulatory expectations and industry standards
• Common compliance challenges in banking
• Activity
Module 2: Ethics & Professional Conduct
Info:
• Principles of ethical decision-making
• Identifying ethical dilemmas in banking
• Behavioural expectations for staff
• Case Study
Module 3: Regulatory Basics & Key Policies
Info:
• Overview of essential regulations
• Reporting requirements and documentation
• Understanding internal controls and procedures
• Activity
Module 4: Risk Awareness & Prevention
Info:
• Identifying potential compliance risks
• Preventing misconduct and unethical behaviour
• Role of employees in risk mitigation
• Activity
Module 5: Anti-Money Laundering (AML) Awareness
Info:
• Basic AML concepts and red flags
• Customer due diligence essentials
• Importance of accurate record-keeping
• Activity
Module 6: Protecting Customer Data
Info:
• Data privacy and confidentiality obligations
• Secure handling of customer information
• Digital safety and common errors to avoid
• Activity
Module 7: Reporting & Escalation Procedures
Info:
• How to identify and report suspicious activities
• Escalation protocols and documentation
• Role of compliance teams and employees
• Role Play
Module 8: Building a Culture of Ethics & Compliance
Info:
• Encouraging integrity-focused behaviour
• Team accountability and workplace culture
• Best practices for daily compliance habits
• Case Study
Event Venue & Nearby Stays
regus NC, Charlotte - Charlotte City Center (HQ), 525 North Tryon Street #Suite 1600, Charlotte, United States
USD 551.34 to USD 723.72
