Advanced Diploma in Regulatory Compliance and Compliance Analytics

Compliance risks have become the biggest risks for global financial institutions, and may threaten the existence of these firms. This module will enable participants to identify and distinguish the major compliance issues and risks, outlining regulators’ expectations of core ethical values of regulated institutions and their compliance systems.

Total Training Duration / CPD Hours : 13

Core FAA CPD : 13

Core SFA CPD : 13

Classroom Hours : 13

Online Hours : 3

Developing, establishing and driving the Compliance strategy and programme,  risk appetite and overall compliance direction for the organization is fundamental, as is ensuring and assuring compliance with applicable rules, regulations and codes of conduct. This module will enable participants to understand approaches to undertake this and roles and responsibilities.

Total Training Duration / CPD Hours : 13

Core FAA CPD : 13

Core SFA CPD : 13

Classroom Hours : 13

Online Hours : 3

Data and data analytics, data governance, data lineage and data quality are critical enablers of effective and efficient customer risk management and compliance monitoring. This module will equip participants with awareness of these components,  and address the impact of current digitization trends on the compliance landscape from a KYC/AML perspective.

Total Training Duration / CPD Hours : 13

Classroom Hours : 13

Online Hours : 3

Today’s technologies are able to transform traditional legal and compliance activities (regulatory technology), but require the knowledge to understand such technologies and select appropriate tools for distinct tasks. This module will equip participants with the skills to critically assess different technologies available, define business requirements, implement robust project management and successfully deploy respective tools in the organisation.

Total Training Duration / CPD Hours : 13

Classroom Hours : 13

Online Hours : 3

A deep understanding of permissions under different banking licences and their policy intent is critical for operating in the banking industry. This module will enable participants to grasp Singapore’s regulatory framework and regulatory expectations for retail banks, including Consumer and Data protection risks and issues relating to Fintechs and Digital banks, current and forward looking.

Total Training Duration / CPD Hours : 13

Core FAA CPD : 13

Core SFA CPD : 13

Classroom Hours : 13

Online Hours : 3

Private banking and wealth management are a substantial sector within financial services, with the  range of services, particular risks and sensitivities creating particular challenges in dealings with private clients. This module will equip participants to understand such challenges, regulations and regulatory expectations for private banking and wealth management and the roles of different actors.

Total Training Duration / CPD Hours : 13

Core FAA CPD : 6.5

Core SFA CPD : 6.5

Classroom Hours : 13

Online Hours : 3

A sound understanding of the rules and regulations governing capital markets and ethical conduct is key for operating in wholesale bank markets. This module will equip participants with the ability to analyse the business and operational impact of regulations, recommend industry best practices, and identify changes to policies and procedures to meet regulatory requirements.

Total Training Duration / CPD Hours : 13

Core FAA CPD : 13

Core SFA CPD : 13

Classroom Hours : 13

Online Hours : 3

The asset management and investment advisory businesses comprise core components of the financial services industry. This module will equip participants with technical skills, indepth knowledge of applicable rules and regulations and how they should be interpreted and applied, to understand and manage compliance risks in this segment in line with regulatory requirements and expectations.

Total Training Duration / CPD Hours : 13

Core FAA CPD : 8

Core SFA CPD : 8

Classroom Hours : 13

Online Hours : 3

Despite best efforts to adhere and comply with applicable regulations, compliance incidents occur. Robust management and ensuring lessons learnt are internalized are key. This module will equip participants with the skills and requirements to handle serious compliance incidents in line with regulatory requirements and expectations, including disciplinary sanctions and performance management.

Total Training Duration / CPD Hours : 13

Classroom Hours : 13

Online Hours : 3