Regulatory Compliance and Anti-Money Laundering

What You Will Learn

• 1 Learn the foundations of regulatory compliance, including the compliance function, three lines model, and risk categories.
• 2 Understand global regulatory bodies and frameworks, from the SEC and FCA to Basel, IFRS, and FATF.
• 3 Explore money laundering stages, methods, and the financing of terrorism.
• 4 Apply the risk-based approach to AML compliance and design risk-rated customer frameworks.
• 5 Implement customer due diligence and KYC requirements across the account lifecycle.
• 6 Build transaction monitoring systems and classify suspicious activity reports.
• 7 Apply sanctions, embargoes, and trade compliance controls in global operations.
• 8 Design compliance governance structures and promote an ethical reporting culture.
• 9 Conduct internal investigations, audits, and coordinate with regulatory examinations.
• 10 Manage data privacy, record-keeping obligations, and compliance technology solutions.
• 11 Identify conduct risk, market abuse, and insider dealing indicators.
• 12 Analyze emerging AML trends, ESG compliance, and future regulatory developments.