Ethics and Compliance in Banking: 1 Day Workshop in Chicago, IL

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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 1 Day workshop delivers a clear and practical introduction to compliance principles and ethical practices in the banking sector. It covers key regulatory expectations, ethical standards, reporting obligations, and everyday responsibilities required to maintain a secure and trustworthy banking environment.

The training focuses on simplifying complex regulations into actionable concepts, emphasizing risk awareness, ethical decision-making, and responsible conduct. Through practical examples and real-world scenarios, you will gain the confidence to apply compliance principles effectively in your daily role.

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

• Understand the role and importance of compliance in banking
• Apply ethical standards to everyday workplace decisions
• Follow regulatory requirements, internal policies, and reporting procedures
• Identify risks, warning signs of misconduct, and prevention measures
• Handle customer information securely and responsibly
• Respond to suspicious activities and escalate concerns appropriately
• Demonstrate professionalism and ethical behaviour in banking operations

• Banking professionals
• Auditors and compliance teams
• Operations and support staff within banking institutions

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This workshop is designed to build a strong foundation in compliance and ethical behaviour—critical components of modern banking. It translates complex regulatory frameworks into simple, practical knowledge that can be applied immediately in the workplace.

The learning approach combines interactive discussions, real-world examples, and clear guidance to enhance understanding and retention. By the end of the session, you will be more confident in making ethical decisions and fulfilling your compliance responsibilities effectively.

📧 Contact us today to schedule a customized in-house, face-to-face session: [email protected]

Info: • Understanding compliance and its importance
• Regulatory expectations and industry standards
• Common compliance challenges in banking
• Activity

Info: • Principles of ethical decision-making
• Identifying ethical dilemmas in banking
• Behavioural expectations for staff
• Case Study

Info: • Overview of essential regulations
• Reporting requirements and documentation
• Understanding internal controls and procedures
• Activity

Info: • Identifying potential compliance risks
• Preventing misconduct and unethical behaviour
• Role of employees in risk mitigation
• Activity

Info: • Basic AML concepts and red flags
• Customer due diligence essentials
• Importance of accurate record-keeping
• Activity

Info: • Data privacy and confidentiality obligations
• Secure handling of customer information
• Digital safety and common errors to avoid
• Activity

Info: • How to identify and report suspicious activities
• Escalation protocols and documentation
• Role of compliance teams and employees
• Role Play

Info: • Encouraging integrity-focused behaviour
• Team accountability and workplace culture
• Best practices for daily compliance habits
• Case Study

Event Venue & Nearby Stays

Regus - Chicago - 111 W. Jackson, 111 West Jackson Boulevard#Downtown, Suite 1700, Chicago, United States

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