Financial Institutions Compliance
Master essential compliance principles and practices in banking and financial institutions. Learn risk management and regulatory frameworks.
Master essential compliance principles and practices in banking and financial institutions. Learn risk management and regulatory frameworks.
This comprehensive course explores compliance functions in financial institutions, focusing on regulatory frameworks and risk management. Students learn about global compliance standards, corporate governance, and financial crime prevention. The curriculum covers crucial aspects from banking supervision to ethical decision-making. Learn how to develop a strong compliance culture, implement effective risk management strategies, and navigate regulatory requirements. Special emphasis is placed on practical applications and real-world compliance challenges in the BFSI sector.
Instructors:
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What you'll learn
Understand banking regulation and supervision frameworks
Master compliance function principles and implementation
Learn corporate governance and risk management strategies
Develop expertise in financial crime prevention
Create effective compliance culture in organizations
Implement ethical decision-making in compliance
Skills you'll gain
This course includes:
PreRecorded video
Graded assignments, exams
Access on Mobile, Tablet, Desktop
Limited Access access
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There are 6 modules in this course
This course provides a comprehensive understanding of compliance in financial institutions. It covers six key modules: Regulation & Supervision, Compliance Function, Corporate Governance & Risk Management, Financial Crime Risk, Compliance Risk & Culture, and Ethics in Compliance. The curriculum examines various aspects of banking regulation, compliance principles, risk management strategies, and ethical considerations. Key areas include AML/KYC compliance, corporate governance structures, and developing effective compliance cultures.
Regulation & Supervision
Module 1 · 2 Hours to complete
Compliance Function
Module 2 · 2 Hours to complete
Compliance in Corporate Governance & Risk Management
Module 3 · 2 Hours to complete
Financial Crime Risk and Compliance
Module 4 · 2 Hours to complete
Compliance Risk & Compliance Culture
Module 5 · 2 Hours to complete
Ethics in Compliance
Module 6 · 2 Hours to complete
Fee Structure
Instructors
1 Course
Experienced Banking Professional Specializes in Risk Management and Compliance
Shri Ajay Chandra Pandey serves as Faculty at the State Bank of India, bringing over 32 years of diverse banking experience since joining SBI in 1991. He holds an MA and various professional certifications, including CAIIB, ACAMS, and Moody Certified CIC. His extensive career spans multiple domains such as Merchant Banking, Forex, Credit, Asset Liability Management (ALM), Risk Management, and Treasury functions. Notably, he served as an "Approved Individual" and Risk Officer at SBI's Qatar Financial Centre in Doha.
1 Course
A Distinguished Banking Professional and Risk Management Expert
Dev Kumar Malik serves as Assistant General Manager and Faculty at State Bank Academy, Gurugram, bringing over 30 years of comprehensive banking experience. His academic credentials include a Master's in English Literature, BA in Hindi Literature, CAIIB certification, and Moody's Certification in Commercial Credit (CICC). Throughout his career at State Bank of India, he has held key leadership positions including Branch Manager, Regional Manager, and Head of Loan CPC. Currently serving as a faculty member since June 2018, he specializes in risk management and banking operations, developing content for courses on Risk Culture and conducting training programs in Banking, Forex, Credit, ALM Risk Management and Treasury. His expertise spans retail banking operations, credit management, and risk assessment, while contributing to the development of educational content for banking professionals
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Frequently asked questions
Below are some of the most commonly asked questions about this course. We aim to provide clear and concise answers to help you better understand the course content, structure, and any other relevant information. If you have any additional questions or if your question is not listed here, please don't hesitate to reach out to our support team for further assistance.