This professional course explores the rise of Regulatory Technology (RegTech) and its transformative role in automating compliance, reporting, and risk monitoring within financial institutions. Participants will learn how to evaluate and implement RegTech tools that streamline KYC, AML, transaction surveillance, and regulatory reporting. The training course emphasizes strategic adoption, vendor selection, and audit-readiness in an increasingly complex compliance landscape.
Live demos of leading RegTech tools
AML and KYC workflow mapping exercises
Case studies on automated compliance success and failure
Group activities for risk scenario testing and RegTech use case design
Understand the landscape of RegTech and digital compliance
Automate core compliance functions like KYC, AML, and reporting
Evaluate RegTech tools for fraud detection and transaction monitoring
Reduce the cost and complexity of meeting regulatory demands
Develop a framework for RegTech implementation and integration
Align RegTech with enterprise risk management (ERM) frameworks
Ensure audit trail, transparency, and regulatory inspection readiness
Session 1: The Rise of RegTech – Drivers and Ecosystem
What is RegTech and how is it different from FinTech?
Key challenges driving RegTech adoption in banking and insurance
Regulatory pain points and areas ready for automation
Session 2: RegTech Applications in KYC and AML
Identity verification, biometric onboarding, and risk scoring
Watchlist screening, sanctions checks, and ongoing due diligence
AI-driven transaction monitoring and suspicious activity detection
Session 3: Compliance Reporting and Regulatory Filings
Automating regulatory reporting (CRS, FATCA, MiFID II, etc.)
e-Invoicing and tax reporting automation in regulated markets
Blockchain and smart contracts for regulatory transparency
Session 1: Implementing RegTech Solutions in Financial Institutions
Vendor evaluation and platform selection
Integration with core banking, ERP, and legacy systems
Change management and stakeholder alignment
Session 2: Risk Controls, Audit Trails, and Compliance Assurance
Building a compliance audit trail using RegTech
Real-time dashboards and regulatory reporting KPIs
Preparing for regulator scrutiny and system audits
Session 3: RegTech Roadmap and Capstone Exercise
Group activity: mapping RegTech solutions to compliance workflows
Identifying gaps, risks, and integration blockers
Final discussion: building a sustainable digital compliance culture
We are open to customizing this program to align with your specific learning objectives. If your team has particular goals or areas they wish to focus on, we would be happy to tailor the course outline to meet those needs and ensure the program supports the achievement of your desired outcomes.
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