Governance and Compliance in Banking and Finance Training Course

Banks are governed more intensively than other businesses because their failures are borne by depositors and taxpayers rather than only by shareholders. The apparatus that results is substantial: board risk committees, an independent compliance function, prudential and conduct supervisors, and personal accountability for named executives.

This course covers governance and compliance in banking across five units: governance structures, global regulatory frameworks, compliance monitoring and risk management, financial crime, and building a sustainable compliance culture. It is educational and is not legal or regulatory advice.

Why compliance keeps growing and outcomes do not improve proportionately

Because much of the spend goes into volume: alerts reviewed, attestations collected, training modules completed. These produce evidence of activity rather than evidence of control. A supervisor's question is different: show me a control that failed, how you found it, and what happened next.

Functions that answer that question well tend to share three features. They test controls instead of monitoring completion rates. They have access to the data without asking the business for it. And their findings reach a board committee that will actually pursue them.

Course objectives

By the end of the course, participants will be able to:

Structure committee mandates that keep audit independent.
Assign each control failure to one named executive.
Map conduct rules to how a product was actually sold.
Verify that monitoring follows the compliance risk assessment.
Answer a supervisor with evidence instead of assurance.
Attest to the state of financial crime controls at a fixed date.
Claw back variable pay after a conduct failure emerges.
Sustain control standards when revenue targets slip.

Course outline

Unit 1: Governance in banking and financial institutions

Board composition and the suitability a supervisor tests.
Committee architecture for audit, risk and remuneration.
A bonus that was reclaimed after it was paid.
Individual accountability and duties allocated by name.

Unit 2: Global financial regulatory frameworks

Conduct regulation and fair customer outcomes.
Suitability and disclosure at the point of sale.
Complaints as evidence of a sales practice.
Home and host supervisors in a banking group.

Unit 3: Compliance monitoring and risk management

Compliance risk assessment across products and channels.
Building a monitoring plan on a risk-based selection.
Findings, remediation and evidence that a fix held.
Meeting the deadline that a breach notification sets.

Unit 4: Fraud, AML, and financial crime compliance

Ownership of financial crime controls allocated by name.
Suitability checks reopened after a conduct incident.
Attestation from staff and the training records behind it.
Whether the compliance officer can reach the chair alone.

Unit 5: Building sustainable compliance cultures

Compliance culture in a quarter when numbers fall short.
Remuneration rules on deferral, malus and clawback.
Concerns raised internally and the response that follows.
Sustaining standards through growth and acquisitions.

How the course is delivered

The course uses supervisory findings, enforcement notices, board papers and compliance monitoring outputs from real institutions. Participants examine what the evidence shows and argue the governance response. The course is educational and is not legal or regulatory advice; it does not certify participants or assess any institution. Participants who want the governance dimension at board level should look at Corporate Governance in Financial Institutions.

Who should attend

Compliance officers and monitoring staff in banks and financial institutions.
Risk managers and internal auditors in regulated firms.
Governance professionals and company secretaries.
Senior managers holding regulatory responsibilities.

About EuroQuest International Training

EuroQuest International Training was founded in 2015 by a team with more than 25 years of experience in professional development. We run over 1,000 courses and have trained more than 15,000 participants. Our head office is in Bratislava, Slovakia, with hubs in Dubai, London, Barcelona, Istanbul, Vienna, Paris and Geneva. Courses are written and reviewed by practitioners from the fields they cover.

Frequently asked questions

Is the course specific to banks?

Banks are the primary focus, but insurers, payment firms and investment firms face the same governance architecture and much of the same compliance agenda.

Which supervisory regime does it follow?

It works from international standards and supervisory expectations, using national regimes as illustration. Local requirements must be confirmed with qualified advisers.