Anti-Financial Crime for RegTechs 

Course outline

Module 1: Financial Crime Overview 

- Financial crime types 

- Key regulations and industry guidance  

- The financial crime function  

Module 2: Principles of a Risk-Based Approach 

- Risk-Based Approach  

- Customer Risk Assessment and Risk - Examples  

- Enterprise-Wide Risk Assessment and Risk Appetite   

Module 3: Principles of CDD and eIDV 

- CDD principles and regulation 

- Enhanced Due Diligence 

- Manual and Automated Solutions 

- eIDV 

Module 4: Principles of Screening 

- Overview of customer screening regulation and key definitions and types of screening  

- Best practice in screening by type (sanctions, PEPs, watchlist and adverse media) 

- Approaches to customer screening and core challenges with implementation 

- Customer screening across different client segments 

Module 5: Principles of Ongoing Monitoring 

- Overview of monitoring and reporting requirements 

- Decision making and escalations as part of transaction monitoring 

- Approaches to ongoing monitoring and core challenges with implementation 

- Information required to meaningfully report financial crime 

Module 6: Stakeholder Engagement and Horizon Scanning 

- Stakeholder engagement tips  

- Horizon scanning