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 the 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 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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Module 1: Introduction to Compliance in Banking

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

Module 2: Ethics & Professional Conduct

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

Module 3: Regulatory Basics & Key Policies

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

Module 4: Risk Awareness & Prevention

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

Module 5: Anti-Money Laundering (AML) Awareness

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

Module 6: Protecting Customer Data

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

Module 7: Reporting & Escalation Procedures

• 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

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