REGTECH FOR FINANCIAL INSTITUTIONS TRAINING COURSE

COURSE OVERVIEW

RegTech for Financial Institutions Training Course is a comprehensive professional programme designed to equip banking professionals, financial-services executives, compliance officers, risk managers, regulators, auditors, legal professionals, FinTech specialists, AML professionals, and technology leaders with advanced knowledge and practical skills in Regulatory Technology (RegTech), financial regulation, regulatory compliance, compliance automation, digital compliance, risk analytics, regulatory reporting, Anti-Money Laundering (AML), Counter-Terrorist Financing (CFT), Know Your Customer (KYC), transaction monitoring, financial crime prevention, data analytics, artificial intelligence, machine learning, and regulatory intelligence. The programme examines how financial institutions can use technology to improve regulatory compliance while reducing operational costs, manual processes, compliance risks, and reporting inefficiencies.

The training explores the evolving RegTech ecosystem and its application across banking, insurance, investment management, payments, FinTech, digital banking, and other financial services. Participants examine automated compliance monitoring, digital KYC, electronic customer due diligence, transaction surveillance, sanctions screening, suspicious transaction reporting, regulatory reporting automation, regulatory data management, compliance analytics, risk scoring, identity verification, cloud-based compliance solutions, APIs, artificial intelligence, machine learning, natural language processing, and data visualization.

The programme also focuses on the strategic and governance dimensions of RegTech adoption, including RegTech strategy, compliance operating models, regulatory change management, data governance, cybersecurity, privacy, model risk, technology risk, third-party risk, regulatory reporting quality, audit trails, compliance controls, and supervisory technology (SupTech). Participants learn how to evaluate technology-enabled compliance solutions, establish appropriate governance frameworks, manage implementation risks, and align RegTech investments with institutional regulatory and business objectives.

Through practical exercises, regulatory reporting simulations, KYC and AML scenarios, compliance technology assessments, risk-mapping exercises, regulatory-change case studies, and group projects, participants will develop a practical RegTech Implementation and Financial-Institution Compliance Transformation Framework. The course enables organizations to strengthen regulatory compliance, improve financial crime controls, automate regulatory processes, enhance risk intelligence, improve reporting accuracy, and build scalable technology-enabled compliance capabilities.

COURSE OBJECTIVES

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

1. Explain RegTech concepts, technologies, applications, and emerging trends.
2. Understand the role of technology in financial regulatory compliance.
3. Develop effective RegTech and compliance transformation strategies.
4. Apply technology to AML, CFT, KYC, and financial crime prevention.
5. Improve regulatory reporting through automation and data analytics.
6. Evaluate AI, machine learning, APIs, cloud technologies, and data solutions for compliance.
7. Strengthen regulatory change management and compliance monitoring.
8. Identify cybersecurity, data privacy, model, technology, and third-party risks.
9. Evaluate and select appropriate RegTech solutions for financial institutions.
10. Develop a practical RegTech implementation and governance framework.

ORGANIZATION BENEFITS

1. Strengthens regulatory compliance capabilities.
2. Reduces manual compliance processes and operational costs.
3. Improves AML, KYC, and financial crime controls.
4. Enhances regulatory reporting accuracy and timeliness.
5. Strengthens regulatory change management.
6. Improves compliance risk identification and monitoring.
7. Supports data-driven compliance decision-making.
8. Enhances auditability, transparency, and regulatory accountability.
9. Supports digital transformation of compliance functions.
10. Builds institutional capacity for sustainable RegTech adoption.

TARGET PARTICIPANTS

This course is designed for Banking Executives, Financial Institution Managers, Compliance Officers, Chief Compliance Officers, Risk Managers, AML/CFT Professionals, KYC Specialists, Regulatory Reporting Officers, Internal Auditors, External Auditors, Legal and Regulatory Affairs Professionals, Financial Crime Investigators, FinTech Professionals, Digital Banking Managers, Information Technology Managers, Data Analysts, Cybersecurity Professionals, Data Governance Officers, Regulators, Supervisors, Policymakers, Investment Managers, Insurance Professionals, Payment-Service Professionals, and professionals responsible for regulatory compliance, financial crime prevention, risk management, technology, governance, and digital transformation.

COURSE OUTLINE

MODULE 1: REGTECH FOUNDATIONS & FINANCIAL REGULATORY ECOSYSTEMS

1. Introduction to RegTech and Regulatory Technology
2. Evolution of financial regulation and digital compliance
3. RegTech applications across banking and financial services
4. Regulatory compliance operating models and technology enablement
5. RegTech, FinTech, SupTech, and digital financial ecosystems
6. Global trends, opportunities, limitations, and challenges in RegTech
   General Case Study: A commercial bank is experiencing increasing regulatory requirements and rising compliance costs. Participants assess its existing compliance operating model and identify opportunities for automation, data integration, regulatory intelligence, and RegTech adoption.

MODULE 2: DIGITAL KYC, AML & FINANCIAL CRIME TECHNOLOGY

1. Digital Know Your Customer and electronic customer due diligence
2. Customer identification, verification, and risk classification
3. AML/CFT transaction monitoring and suspicious activity detection
4. Sanctions screening and watch-list management
5. Artificial intelligence and machine learning for financial crime detection
6. RegTech solutions for financial crime prevention and investigation
   General Case Study: A financial institution is experiencing increasing volumes of digital customer onboarding and transactions. Participants design a technology-enabled KYC and AML framework incorporating identity verification, customer risk scoring, transaction monitoring, sanctions screening, alerts, investigations, and reporting.

MODULE 3: REGULATORY REPORTING & COMPLIANCE DATA ANALYTICS

1. Regulatory reporting requirements and reporting frameworks
2. Regulatory data collection, validation, and quality management
3. Automated regulatory reporting and workflow management
4. Compliance dashboards, metrics, and risk analytics
5. Data lineage, audit trails, reconciliation, and reporting controls
6. Artificial intelligence and advanced analytics for regulatory reporting
   General Case Study: A financial institution has recurring errors and delays in regulatory submissions. Participants develop a RegTech-enabled reporting process covering data collection, validation, reconciliation, automated reporting, exception management, quality assurance, and management dashboards.

MODULE 4: AI, AUTOMATION & ADVANCED REGTECH TECHNOLOGIES

1. Artificial intelligence and machine learning in compliance
2. Natural language processing for regulatory intelligence
3. Robotic process automation for compliance activities
4. APIs, cloud computing, data platforms, and RegTech integration
5. Predictive analytics and compliance risk scoring
6. Model governance, explainability, validation, and responsible AI
   General Case Study: A bank wants to automate selected compliance activities using AI and machine learning. Participants evaluate potential applications, data requirements, model risks, explainability requirements, human oversight, governance controls, and expected operational benefits.

MODULE 5: REGULATORY CHANGE, RISK & REGTECH GOVERNANCE

1. Regulatory change management and regulatory intelligence
2. Compliance risk assessment and control automation
3. Data privacy, cybersecurity, and information-security considerations
4. Third-party, vendor, cloud, and technology risks
5. RegTech model risk, operational resilience, and business continuity
6. Governance frameworks, accountability, audit, and regulatory oversight
   General Case Study: A financial institution adopts a third-party RegTech platform for compliance monitoring. Participants develop a governance and risk framework addressing vendor due diligence, data security, privacy, model validation, service continuity, access controls, auditability, and regulatory accountability.

MODULE 6: REGTECH STRATEGY, IMPLEMENTATION & COMPLIANCE TRANSFORMATION

1. Developing a RegTech strategy and business case
2. RegTech solution evaluation, procurement, and vendor selection
3. RegTech implementation roadmaps and change management
4. Integration with core banking, risk, compliance, and reporting systems
5. Measuring RegTech performance, ROI, compliance effectiveness, and KPIs
6. Developing a RegTech Implementation and Compliance Transformation Framework
   General Case Study: A regional financial institution plans to transform its compliance function through RegTech. Participants develop a phased implementation roadmap covering regulatory priorities, technology architecture, data requirements, AML/KYC automation, regulatory reporting, governance, change management, investment requirements, KPIs, and continuous improvement.

GENERAL INFORMATION

1. Customized Training: All our courses can be tailored to meet the specific needs of participants.
2. Language Proficiency: Participants should have a good command of the English language.
3. Comprehensive Learning: Our training includes well-structured presentations, practical exercises, web-based tutorials, and collaborative group work. Our facilitators are seasoned experts with over a decade of experience.
4. Certification: Upon successful completion of training, participants will receive a certificate from Foscore Development Center (FDC-K).
5. Training Locations: Training sessions are conducted at Foscore Development Center (FDC-K) centers. We also offer options for in-house and online training, customized to the client's schedule.
6. Flexible Duration: Course durations are adaptable, and content can be adjusted to fit the required number of days.
7. Onsite Training Inclusions: The course fee for onsite training covers facilitation, training materials, two coffee breaks, a buffet lunch, and a Certificate of Successful Completion. Participants are responsible for their travel expenses, airport transfers, visa applications, dinners, health/accident insurance, and personal expenses.
8. Additional Services: Accommodation, pickup services, flight booking, and visa processing arrangements are available upon request at discounted rates.
9. Equipment: Tablets and laptops can be provided to participants at an additional cost.
10. Post-Training Support: We offer one year of free consultation and coaching after the course.
11. Group Discounts: Register as a group of more than two and enjoy a discount ranging from 10% to 50%.
12. Payment Terms: Payment should be made before the commencement of the training or as mutually agreed upon, to the Foscore Development Center account. This ensures better preparation for your training.
13. Contact Us: For any inquiries, please reach out to us at training@fdc-k.org or call us at +254712260031.
14. Website: Visit our website at www.fdc-k.org for more information.