Banking Compliance Professional Training
A focused 1-day programme for bank employees and management at licensed financial institutions. Covers the core pillars of banking compliance in a single intensive session: regulatory obligations, AML/CFT frameworks, KYC and CDD requirements, transaction monitoring, sanctions screening, and how to build a sustainable compliance culture within your institution.
The programme covers the compliance function in a Malaysian banking or financial institution as a whole rather than a single obligation, and suits practitioners moving into compliance from another part of the business. Coverage spans the regulatory landscape a Malaysian institution operates within, including BNM policy documents, AML and CFT obligations, fair treatment of financial consumers, and technology risk expectations under RMiT. The compliance function's operating model is covered practically: risk assessment, monitoring and testing, regulatory reporting, breach management and the relationship with internal audit and the board.
Participants leave with practical knowledge of their personal compliance obligations, the ability to identify red flags and apply risk-based thinking, and a clear picture of what regulators expect from a well-governed financial institution.
HRD Corp SBL-Khas Claimable
Programme Agenda
8:30 AM - 9:00 AM
Registration & Welcome
Participant registration, programme overview, and learning objectives for the day.
9:00 AM - 10:15 AM
Compliance Landscape & Regulatory Framework
Introduction to banking compliance and the regulatory environment governing licensed financial institutions. Role of the central bank and key legislation. The Compliance Officer's mandate, accountability structures, reporting lines, and independence requirements. Corporate governance frameworks, board and management accountability, and the relationship between compliance and risk management.
10:15 AM - 10:30 AM
Break
10:30 AM - 12:00 PM
AML/CFT, KYC & Customer Due Diligence
Money laundering typologies and terrorism financing risks. Key definitions and obligations of licensed banks under applicable AML/CFT regulations. Customer identification requirements, CDD procedures, and Enhanced Due Diligence for high-risk customers. Beneficial ownership verification and ongoing CDD obligations.
12:00 PM - 1:00 PM
Lunch
1:00 PM - 2:15 PM
Risk-Based Approach, Transaction Monitoring & STR
Applying a risk-based approach to compliance: customer risk profiling, product risk, and channel risk. Identifying red flags and structuring the transaction monitoring process. Suspicious Transaction Report (STR) obligations, decision-making criteria, and filing requirements. Common reporting failures and how to avoid regulatory penalties.
2:15 PM - 3:15 PM
Sanctions, PEPs & Anti-Corruption
Screening obligations against international sanctions lists. Handling Politically Exposed Person (PEP) relationships and managing reputational and legal exposure. Bribery and corruption risks specific to financial institutions, gifts and entertainment policies, and conflict of interest management.
3:15 PM - 3:30 PM
Break
3:30 PM - 4:15 PM
Compliance Culture, Whistleblowing & Documentation
Embedding compliance into day-to-day banking operations and leadership's role in sustaining a compliant institution. Internal reporting channels, staff protections, and escalation procedures for compliance breaches. Maintaining compliance documentation, policies, and audit-ready records.
4:15 PM - 4:45 PM
Assessment
Individual written assessment covering all programme content. Required for Certificate of Completion. 70% pass mark. One resit permitted within 14 days.
4:45 PM - 5:00 PM
Closing Remarks & Certificate Presentation
Programme wrap-up, open Q&A, and certificate presentation.
Key Outcomes
- Understand the regulatory framework governing licensed financial institutions under local and international requirements
- Identify personal compliance obligations and accountability as a banking professional
- Apply AML/CFT requirements including KYC, CDD, and Suspicious Transaction Reporting in daily banking operations
- Recognise red flags for money laundering, terrorism financing, and sanctions violations
- Screen customers against sanctions lists and manage PEP relationships appropriately
- Understand corporate governance standards and the role of the Compliance Officer within a bank
- Respond appropriately to compliance breaches, whistleblowing situations, and regulatory examinations
- Contribute to a strong compliance culture within their branch and institution
Training Mode Physical / Online / Hybrid / e-learning
HRD Corp SBL-Khas Claimable
Level Foundational to Intermediate, suitable for bank staff at all levels
Duration 1 Day | 8:30 AM - 5:00 PM
Venue Kuala Lumpur, Malaysia, exact venue confirmed to participants upon registration
Assessment Written knowledge check, 70% pass mark required. One resit permitted within 14 days.
Certificate Certificate of Completion issued by Orbix Tech Sdn Bhd upon successful assessment and full attendance
Includes Training materials, workbook, assessment, and Certificate of Completion. Participants are responsible for their own travel and accommodation.