Regulatory Compliance for Banks and Financial Institutions

Regulatory Compliance for Banks and Financial Institutions is a five-day senior banking-compliance course delivered by Mars Training Centre in the major banking centres — London, Geneva, Dubai, Manama and Tokyo — designed for heads of compliance, chief compliance officers and senior practitioners in banks, insurers, asset managers and other internationally operating financial institutions.

Banking compliance has become a senior management discipline that ties together prudential standards, conduct expectations, financial-crime defences, market-integrity rules, consumer protection and operational resilience. International standards — Basel for prudential matters, IOSCO for markets, the Financial Action Task Force for financial crime, and the Basel Committee's broader compliance principles — provide a common spine that runs through every national regulator's rulebook, whether the UK, EU, US, Switzerland, Singapore, Hong Kong or the GCC.

This programme equips senior compliance practitioners with a working command of the generic principles that shape modern banking and financial-services compliance. It does not teach the rulebook of any single national regulator in depth; it teaches the international principles, with national regulators referenced as examples of how those principles are applied. It is delivered by senior practitioners drawn from the Mars panel.

What You Will Learn

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

• Apply the major international standards — Basel, IOSCO, FATF — to a financial-institution compliance programme.
• Design a compliance programme proportionate to the size, complexity and risk profile of the institution.
• Lead conduct-risk management and customer-fairness oversight.
• Build a market-conduct programme covering market abuse, conflicts and best execution.
• Embed prudential awareness — capital, liquidity, large exposures — into compliance work.
• Lead financial-crime compliance as part of the broader regulatory programme.
• Manage cross-border regulatory complexity in an internationally active institution.
• Communicate compliance risk to the board, regulators and supervisors.

How You Will Benefit

You will leave with the senior practitioner's command of internationally applicable banking compliance and a personal plan to lift your programme, along with a Mars Certificate of Completion.

Your organisation will gain a compliance leader who can build a programme that withstands supervisory scrutiny, reduces regulatory exposure, and supports rather than slows the business.

Who This Programme Is For

This programme is designed for senior practitioners in banks and financial institutions, including:

• Chief compliance officers and heads of compliance
• Heads of regulatory, conduct and market compliance
• Heads of financial crime and money-laundering reporting officers
• General counsel and senior legal advisers
• Chief risk officers and heads of risk
• Heads of internal audit in financial services
• Senior executives in retail, wholesale and private banking
• Senior managers preparing for chief compliance officer roles

The seniority floor is senior manager and above in compliance, risk, audit or legal functions in a financial institution.