Course Overview
The Risk-Based Compliance Management in Banks course is designed to equip banking professionals
with the knowledge and skills needed to implement effective risk-based compliance management
practices within financial institutions. This course emphasizes identifying, assessing, and mitigating
compliance risks through a structured, risk-based approach. It covers the fundamentals of risk
management, compliance frameworks, regulatory requirements, and the integration of risk
management principles into compliance strategies. The course also focuses on how to align
compliance functions with the bank’s overall risk management framework to ensure proactive
identification and mitigation of risks.

Target Group
 Compliance Officers and Risk Managers in Banks
 Internal Auditors
 Legal and Compliance Advisors in the banking sector
 Regulatory Affairs Professionals
 Banking Executives and Senior Management
 Financial Analysts and Risk Analysts
 Professionals pursuing certifications such as CAMS (Certified Anti-Money Laundering
Specialist), CRCM (Certified Regulatory Compliance Manager), or CRMP (Certified Risk
Management Professional)

Expected Outcomes
By the end of this course, participants will:
1. Understand the Principles of Risk-Based Compliance: Develop an understanding of riskbased
compliance management and how it aligns with broader risk management strategies
in banks.
2. Implement Effective Risk Assessment: Learn how to assess and identify compliance risks
within various areas of banking, from operations to regulatory compliance.
3. Develop and Integrate Risk-Based Compliance Frameworks: Gain the skills to create and
integrate compliance management systems based on risk analysis and regulatory
requirements.
4. Enhance Regulatory Compliance: Understand how to ensure compliance with international
and national regulations using a risk-based approach.
5. Mitigate Compliance Risks: Develop strategies for mitigating compliance risks through
policies, procedures, and controls.
6. Monitor and Review Compliance Risks: Learn how to implement continuous monitoring
systems to assess the effectiveness of risk management practices and adjust accordingly.
7. Facilitate a Culture of Compliance: Understand the importance of building and maintaining a
culture of compliance across the bank through education, policies, and practices.