Course : AI Applied to Banking Compliance: Optimizing KYC and AML/CFT Controls
Practical course - 2d
- 14h00 - Ref. ILB
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 | Identify the regulatory and organizational challenges of banking and financial compliance |
| Implement KYC and AML/CFT controls based on a risk-based approach |
| Leveraging artificial intelligence technologies to automate and strengthen compliance controls |
| Ensuring the safe use of AI by incorporating regulatory, ethical, and data protection requirements |
Intended audience
Compliance officers, RCCI, RCSI, KYC analysts, internal auditors, risk management departments, ongoing monitoring managers, and professionals involved in banking and financial compliance programs.
Prerequisites
None.
Practical details
Teaching methods
The instructor assesses the participant's learning progress throughout the training course using multiple-choice questions, role-playing exercises, hands-on activities, and so on.
Course schedule
1 Understanding Current Banking Compliance Issues
- Identify the key regulatory requirements related to banking and financial compliance.
- Understand the responsibilities of the compliance, audit, and risk management functions.
- Analyze the impact of regulatory changes on control mechanisms.
- Establish a compliance governance framework tailored to the requirements of regulatory authorities.
- Identify the interactions between compliance, internal audit, and ongoing monitoring.
Hands-on work
Analysis of an existing compliance framework and identification of areas for improvement.
2 Structure and strengthen KYC and AML/CFT systems
- Understand the principles of KYC and the fight against money laundering and terrorist financing.
- Implement a risk-based approach tailored to customer profiles and operations.
- Verify beneficial owners and ensure the security of customer onboarding processes.
- Identify weak signals and atypical behaviors related to sensitive operations.
- Strengthen procedures for monitoring and escalating compliance alerts.
Case study
Case Study on Risk Classification and the Handling of KYC/AML-CFT Alerts.
3 Leveraging Artificial Intelligence in Compliance Processes
- Understand the main applications of AI in banking compliance.
- Automate document processing and data consistency checks.
- Leveraging behavioral analysis to improve anomaly detection.
- Optimize transaction monitoring and reduce false positives.
- Identify the operational limitations and reliability conditions of AI models.
Hands-on work
Designing an AI use case to automate a compliance check.
4 Regulating and Ensuring the Safe Use of AI in a Regulated Environment
- Understanding the Regulatory Impacts of the AI Act on Compliance Activities.
- Identify the risks associated with algorithmic bias and automated decisions.
- Ensure the explainability and traceability of the models used in audits.
- Secure sensitive data and strengthen governance of AI processing.
- Define best practices for overseeing and monitoring artificial intelligence tools.
Hands-on work
Development of a risk and compliance assessment framework for an AI tool.
PARTICIPANTS
Compliance officers, RCCI, RCSI, KYC analysts, internal auditors, risk management departments, ongoing monitoring managers, and professionals involved in banking and financial compliance programs.
PREREQUISITES
None.
TRAINER QUALIFICATIONS
The experts leading the training are specialists in the covered subjects. They have been approved by our instructional teams for both their professional knowledge and their teaching ability, for each course they teach. They have at least five to ten years of experience in their field and hold (or have held) decision-making positions in companies.
ASSESSMENT TERMS
The trainer evaluates each participant’s academic progress throughout the training using multiple choice, scenarios, hands-on work and more.
Participants also complete a placement test before and after the course to measure the skills they’ve developed.
TERMS AND DEADLINES
Registration must be completed 24 hours before the start of the training.
ACCESSIBILITY FOR PEOPLE WITH DISABILITIES
Do you need special accessibility accommodations? Contact Mrs. Fosse, Disability Manager, at psh-accueil@orsys.fr to review your request and its feasibility.
Compliance officers, RCCI, RCSI, KYC analysts, internal auditors, risk management departments, ongoing monitoring managers, and professionals involved in banking and financial compliance programs.
PREREQUISITES
None.
TRAINER QUALIFICATIONS
The experts leading the training are specialists in the covered subjects. They have been approved by our instructional teams for both their professional knowledge and their teaching ability, for each course they teach. They have at least five to ten years of experience in their field and hold (or have held) decision-making positions in companies.
ASSESSMENT TERMS
The trainer evaluates each participant’s academic progress throughout the training using multiple choice, scenarios, hands-on work and more.
Participants also complete a placement test before and after the course to measure the skills they’ve developed.
TEACHING AIDS AND TECHNICAL RESOURCES
• The main teaching aids and instructional methods used in the training are audiovisual aids, documentation and course material, hands-on application exercises and corrected exercises for practical training courses, case studies and coverage of real cases for training seminars.
• At the end of each course or seminar, ORSYS provides participants with a course evaluation questionnaire that is analysed by our instructional teams.
• A check-in sheet for each half-day of attendance is provided at the end of the training, along with a course completion certificate if the trainee attended the entire session.
• The main teaching aids and instructional methods used in the training are audiovisual aids, documentation and course material, hands-on application exercises and corrected exercises for practical training courses, case studies and coverage of real cases for training seminars.
• At the end of each course or seminar, ORSYS provides participants with a course evaluation questionnaire that is analysed by our instructional teams.
• A check-in sheet for each half-day of attendance is provided at the end of the training, along with a course completion certificate if the trainee attended the entire session.
TERMS AND DEADLINES
Registration must be completed 24 hours before the start of the training.
ACCESSIBILITY FOR PEOPLE WITH DISABILITIES
Do you need special accessibility accommodations? Contact Mrs. Fosse, Disability Manager, at psh-accueil@orsys.fr to review your request and its feasibility.
This programme is an original creation, developed by the teaching teams at ORSYS Formation. Any reproduction, representation, adaptation or use, in whole or in part, without the prior written authorisation of ORSYS, is strictly prohibited. ORSYS reserves the right to take any action necessary to protect its intellectual property rights.
Dates and locations
Dernières places
Date garantie en présentiel ou à distance
Session garantie
This programme is an original creation, developed by the teaching teams at ORSYS Formation. Any reproduction, representation, adaptation or use, in whole or in part, without the prior written authorisation of ORSYS, is strictly prohibited. ORSYS reserves the right to take any action necessary to protect its intellectual property rights.