Advanced Diploma in Regulatory Compliance and Compliance Analytics

Programme Overview

In light of the changing business and regulatory landscape, the increasing rate and pace of change, and consequent regulatory scrutiny and enforcement actions impacting corporate and personal reputations and wallets, knowledgeable, skilled and practical regulatory compliance professionals are required and in demand to help businesses and their institutions navigate and conduct operations. This programme equips you with a solid grasp of the fundamentals of compliance culture and risk, compliance strategy and planning, regulatory technologies and project planning skills. You may elect a specialist product area selecting among consumer banking, private banking, asset management or wholesale banking, depending on the particular area you are practising or wish to gain mastery in. 

 

You will have direct exposure to seasoned compliance industry specialists and leaders who are experts in the particular area. All sessions are interactive including teaching, case studies, group breakouts and discussions and assessments are similarly designed to ensure skills learnt are thoroughly understood and grasped in practice and can be applied to work-life circumstances. Successful completion of the programme qualifies you for an Advanced Certificate in Regulatory Compliance as well as eligibility to apply to IBF for the Regulatory Compliance Level 2 Certification*, recognizing your achievement.

 

*subject to T&Cs

Modules

The Advanced Diploma comprises 7 standalone modules, of which 5 modules are compulsory, and the 2 remaining modules must be selected from the following 4 regulatory compliance segments:

 

  • Retail Banking and Fintech Regulation
  • Compliance in Private Banking and Wealth Management
  • Wholesale Banking and Capital Markets Regulation
  • Compliance in Asset Management and Financial Advisory Services

 

This programme is conducted on a part-time basis and you may select any module or complete the programme in a schedule that best fits you. Modules are delivered through a blended learning pedagogy, building on interactive pre-class online learning for foundation concepts and knowledge, reserving the classroom for skills application and topics that have higher complexity. Modules feature assessments to check for learning transfer covered in online and classroom sessions.

 

Participants who wish to attend individual modules can select the modules by registering here. Please note that individual modules can only be selected before the respective module’s date of commencement. You will receive a confirmation of acceptance if seats are available for the particular module.

Download programme brochure

Who Should Attend

This course is designed for compliance professionals within the financial services sector with at least 3 years of relevant experience, including legal, enterprise/operational risk, audit professionals and those in control functions in the first line of defence. It is also relevant for external lawyers, consultants and accountants advising the financial services sector.

 

Minimum Entry Requirements

  • Minimum Education: Diploma or equivalent
  • Minimum Work Experience: 3 years of relevant experience
  • Minimum English Language requirement (only if English was not the medium of instruction used at the highest qualification): TOEFL score > 100; IBT or IELTS score > 6.5.
  • WMI will consider exceptions on a case-by-case basis and if needed, an interview may be requested.

 

Graduation Criteria

  • Successful completion of all 7 13-hour courses and assessments.
  • Achieve a minimum CGPA of 2.50 at the completion of the Advanced Diploma.
  • Complete the Advanced Diploma within 3 years from the date of admission of the first course taken.
  • Successful recipients of the “Advanced Diploma Regulatory Compliance and Compliance Analytics” who have at least 3 years in relevant or private banking experience and meet all other relevant IBF certification criteria can apply for IBF Certification under “IBF Advanced (Level 2) in Compliance Advisory, and Compliance Analytics”. Companies will apply directly with IBF for this certificate on behalf of their sponsored participants.

Useful Links

Certification

Participants who successfully complete the programme will be awarded: 

Accreditation

Accreditation

IBF Standards Training Scheme (IBF-STS) 

 

Find out more at www.ibf.org.sg/home/for-individuals/skills-and-jobs-development/training-support/IBF-STS

 

SILE 

 

 

Module: Compliance Risk and Culture
Eligible Public CPD Points: Day 1= 4, Day 2= 4.5. Total = 8.5 (TBC)
Practice Area: Ethics and Professional Responsibility
Training Level: Intermediate

 

Module: Retail Banking and Fintech Regulations
Eligible Public CPD Points: Day 1= 4.5, Day 2= 5. Total = 9.5 (TBC)
Practice Area: Banking and Finance

Training Level: Intermediate

 

Participants who wish to obtain CPD Points must comply strictly with the Attendance Policy set out in the CPD Guidelines. For this activity, participants are reminded to sign in on arrival and sign out at the conclusion of each day of the event in the manner required by the organiser. Participants must not be absent from each day of the event for more than 15 minutes. Participants may obtain Public CPD Points for each day of the event on which they comply strictly with the Attendance Policy. Participants who do not comply with the Attendance Policy on any particular day of the event will not be able to obtain CPD Points for that day. Please refer to www.sileCPDcentre.sg for more information.

 

Module: Wholesale Banking and Capital Markets Regulation

Eligible Public CPD Points: Day 1= 5, Day 2= 5. Total = 10 (TBC)
Practice Area: Banking and Finance

Training Level: Intermediate

 

Participants who wish to obtain CPD Points must comply strictly with the Attendance Policy set out in the CPD Guidelines. For this activity, participants are reminded to sign in on arrival and sign out at the conclusion of each day of the event in the manner required by the organiser. Participants must not be absent from each day of the event for more than 15 minutes. Participants may obtain Public CPD Points for each day of the event on which they comply strictly with the Attendance Policy. Participants who do not comply with the Attendance Policy on any particular day of the event will not be able to obtain CPD Points for that day. Please refer to www.sileCPDcentre.sg for more information.

Certification

Certification

Participants who successfully complete the programme will be awarded: 

 

WMI Certification

  • Advanced Diploma in Regulatory Compliance and Compliance Analytics
  • CPD hours (IBF-STS and Core FAA/SFA CPD)

 

IBF Certification

  • Eligible for the IBF Advanced (Level 2) Certification in Compliance Advisory, and Compliance Analytics. T&Cs apply.

 

Note:

In addition to Course Fees, each participant will also be charged a non-refundable and non-claimable application fee of S$85 (including GST).

 

SkillsFuture Credits can be utilised to offset the balance of the programme fees after IBF subsidy. Do note that SkillsFuture Credits cannot be used to offset Application Fees.

 

Click here to read more about the terms & conditions governing registration, payment, cancellation, deferment and no-show.

 

The information above is correct at the time of publication. The Wealth Management Institute reserves the right to amend the fees and/or terms and conditions as appropriate. 

Schedule

Schedule is subject to change, additional classes may be added with sufficient interest. Please click “Apply Now” to register your interest.

Compliance/Regtech and Project Management - 23 & 24 May 2024
Handling Serious Compliance Incidents & Performance Management - 11 & 12 Jun 2024
Wholesale Banking and Capital Markets Regulation - 8 & 9 Jul 2024
Compliance in Private Banking and Wealth Management - 29 & 30 Jul 2024
Compliance Risk and Compliance Culture - 29 & 30 Aug 2024
Compliance Strategy, Policy and Advice - 26 & 27 Sep 2024
Retail Banking and Fintech Regulation - TBC
Modules

Testimonials

Testimonials

AML Officer in a regulator

Class of 21/22

AML Officer in a local bank

Class of 21/22

Team Lead in a private bank

Class of 21/22

Business Compliance Head in a foreign bank

Class of 21/22

Register for Online Information Session

Get a chance to speak with our team in an online information session to learn more about WMI’s Advanced Diploma in Regulatory Compliance and Compliance Analytics programme. We are happy to offer an overview of the programme and any enquiries you may have about WMI in this one-hour virtual session.

Upcoming Dates

13 Mar 2024, Wednesday, 5pm
20 Mar 2024, Wednesday, 5pm
27 Mar 2024, Wednesday, 5pm
3 Apr 2024, Wednesday, 5pm
10 Apr 2024, Wednesday, 5pm

Enquire Now

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