Financial stability depends on regulators and banks sharing a clear understanding of what sound practice looks like. Since the global financial crisis, standards on capital, liquidity, governance and financial crime have grown more demanding, and local regulators continue to adapt them to national markets. Institutions that treat compliance as a paperwork exercise find that breaches surface in examinations, correspondent banking reviews and enforcement actions, often at significant cost.

This training course explains the policy architecture behind banking supervision and shows how to apply it. Participants examine the international standard setters and how their guidance reaches national law, followed by licensing, prudential ratios, large exposure limits, provisioning and the supervisory review process. They then move to the compliance function itself: building a regulatory inventory, writing policies, testing controls, handling breaches and reporting to boards and supervisors. Dedicated sessions address AML and CFT, customer due diligence, sanctions screening and the supervision of digital and mobile financial services.

Teaching mixes concise explanation with worked examples, mock supervisory findings and compliance workshops. Participants prepare a compliance monitoring plan and a response to a sample inspection report, so that the learning translates into work they can take back immediately.

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

• Explain how Basel standards and the Core Principles shape national banking regulation.
• Interpret capital adequacy, liquidity and large exposure requirements.
• Describe risk-based supervision, from off-site analysis to on-site examination.
• Build a regulatory inventory and compliance risk assessment for a bank.
• Draft and review policies that translate regulatory requirements into controls.
• Apply AML, CFT and sanctions requirements in customer and transaction monitoring.
• Plan responses to supervisory findings and corrective action programmes.

The course is suitable for people who supervise, govern or comply with banking regulation, including:

• Bank supervisors and examiners in central banks and regulatory authorities
• Chief compliance officers and compliance managers in banks
• Money laundering reporting officers
• Internal auditors and risk managers in financial institutions
• Board members and company secretaries of banks
• Legal advisers to financial institutions
• Regulators and managers of microfinance institutions and SACCOs
• Consultants and fintech compliance staff working with licensed institutions

Participants leave with:

• A structured view of how international standards flow into local rules.
• A regulatory inventory template to track obligations and owners.
• A compliance risk assessment and monitoring plan drafted for their institution.
• A policy review checklist that links each requirement to a control.
• A response outline for a supervisory examination finding.
• Greater confidence discussing prudential issues with regulators and boards.

The sessions blend regulatory content with practical application. Participants will experience:

• Concise presentations on standards and supervisory methods
• Worked examples using extracts of capital and liquidity returns
• Mock examination findings to analyse and answer
• Group workshops on policy drafting and compliance testing
• Open exchange of regulatory experience between supervisors and bankers

Vision Reach Global Consultancy issues a CPD-accredited Certificate of Completion to participants who attend the sessions and complete the workshop exercises.