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The emerging compliance exposures highlight the potential risks and weakness in the financial industry that precipitates from the advancement of technology and greater access to international banking facilities. This course provides key considerations for these emerging compliance risks that have developed over recent years and prepares financial professionals to be aware of the challenges that need to be addressed.

Target Audience

  • Financial advisers
  • Relationship manager
  • Private banker
  • Research analysts
  • Portfolio managers
  • M&A specialists

Course Objectives

  • Identify and assess the key compliance exposures in financial industry
  • Understand the minefields of digitalisation for financial professionals and customers
  • Be aware and handle the risks of financial intrusions to financial systems and the customers
  • Understand the cross-border challenges of compliance and limitations imposed by the current pandemic
  • Be aware of the scope of cybersecurity and the technological challenges to maintain its integrity by financial professionals

Course Outline

Compliance Exposure Management

  • Identify key compliance exposures in the financial industry
  • Manage compliance exposures
  • Be aware on how these exposures might develop and change in due course

Financial Crimes

  • Exposures to financial crime
  • A case study for consideration
  • Approach to combat financial crimes

Digitalisation and Banking

  • Understand the need for acceleration to digital banking
  • Challenges of adopting new banking behaviour
  • Concerns on compromise and compliance
  • Issues with cross-border compliance

Social Engineering

  • Characteristics of social engineering
  • What are the common social engineering events
  • Defences against social engineering attacks


  • Characteristics of phishing
  • Common phishing techniques used
  • Defences against phishing

Technology Reliance

  • Emerging trends associated with financial professionals in technology
  • Risk associated with relying on technology
  • Approach on key technology maintenance