Financial stability depends on supervisors who can show their work is effective and on banks that can prove their compliance programmes function. Boards, parliaments, the IMF and World Bank assessment teams and development partners increasingly ask for evidence of results rather than lists of activities: inspections completed, circulars issued and policies approved. Without sound monitoring and evaluation, weak banks are identified late, repeated findings go unaddressed and reforms lose credibility.

This programme applies monitoring and evaluation practice to the banking supervision and compliance setting. It begins with the logic of supervision, linking inputs and activities to outcomes such as safer institutions and better consumer protection, and with the Basel Core Principles as a benchmark. Participants then build indicator sets, set baselines and targets, and design data collection from returns, inspection reports and compliance monitoring. Further sessions cover evaluation designs suited to regulatory work, from process reviews to outcome and impact assessments, the analysis of capital, liquidity, asset quality and AML compliance data, and tracking of findings and enforcement actions through to closure.

Learning is practical. Participants work with anonymised datasets in Excel, review sample inspection reports, critique real-style indicator frameworks and finish by drafting an evaluation plan and a reporting dashboard for their own institution.

Participants will be able to:

• Construct a results framework linking supervisory activities to risk and stability outcomes.
• Apply the Basel Core Principles as a benchmark when assessing supervisory effectiveness.
• Develop SMART indicators with baselines, targets and clear data sources.
• Analyse prudential returns covering capital adequacy, liquidity and asset quality.
• Test the effectiveness of bank compliance and AML controls through sampling and review.
• Evaluate enforcement actions and remediation plans for sustained improvement.
• Select suitable evaluation designs and questions for regulatory programmes.
• Report findings to boards, oversight committees and partners in concise, usable form.

The course is intended for professionals who supervise, comply with or evaluate banking regulation, such as:

• Bank supervisors and examiners at central banks and regulators
• Policy and research officers in financial sector authorities
• Bank compliance officers and money laundering reporting officers
• Internal auditors and risk managers in commercial banks
• Monitoring, evaluation and learning specialists in financial sector programmes
• Advisers at development finance institutions and donor agencies
• Staff of deposit insurance and microfinance regulators
• Consultants evaluating financial sector reform projects

Participants leave the programme with:

• An indicator framework for their supervisory or compliance function.
• A Basel Core Principles self-assessment worksheet to adapt.
• An Excel template for trend analysis of prudential and compliance data.
• A findings and remediation tracker with ageing and closure rules.
• A draft evaluation plan including questions, methods and a timeline.
• A board-level reporting format with a one-page summary dashboard.

Sessions favour applied analysis over lectures and include:

• Excel labs on anonymised prudential and compliance returns
• Review and critique of sample inspection and evaluation reports
• Small group design of indicator frameworks and evaluation plans
• Facilitated exchange between supervisors and bank compliance staff
• Presentation practice for board and committee reporting

Attendance at the full programme and completion of the analysis and planning exercises earn a CPD-accredited Certificate of Completion issued by Vision Reach Global Consultancy.