ISO 37301:2021 Compliance Management Systems (CMS) Lead Auditor
ISO 37301:2021 Compliance Management Systems (CMS) Lead Auditor
Course Overview
The course is designed for banking professionals who are responsible for regulatory compliance, risk management, governance, and financial crime prevention.
This program provides a structured understanding of:
Compliance frameworks in banking.
Regulatory risk management.
Anti-Money Laundering (AML).
Internal controls and reporting systems.
Ethical governance and corporate responsibility.
The course aligns with international best practices and helps banking institutions establish a strong compliance culture to meet regulatory requirements and reduce financial and reputational risks.
Course Topics
✅ Compliance Management Fundamentals.
Understanding the ISO 37301 structure.
Compliance framework in financial institutions.
Legal and regulatory obligations.
✅Regulatory Risk Management
Identifying compliance risks
Risk assessment methodology
Monitoring and mitigation strategies
✅ Anti-Money Laundering (AML)
AML regulatory framework
Suspicious transaction monitoring
Reporting obligations.
✅ Know Your Customer (KYC) & Due Diligence
Customer verification procedures
Enhanced due diligence (EDD)
Politically Exposed Persons (PEPs)
✅ Governance & Internal Controls.
Role of leadership in compliance.
Internal audit & monitoring systems.
Compliance reporting and documentation.
Who Should Enroll?
Assistant Vice Presidents (AVP).
Compliance Managers.
Risk Managers.
AML Officers.
Internal Auditors.
Banking Operations Managers.
Regulatory Reporting Officers.
Senior banking professionals seeking promotion.
Ready to Enroll?
Start your professional development journey with this comprehensive course.