Training on Financial Services Records and Regulatory Compliance
Stay compliant in banking & finance with expert training on records retention, AML, audits & digital governance. Build audit-ready systems today
Next intake
20 Jul 2026 · Nakuru
Duration
5 days
Live instruction
Delivery
Physical + Virtual
Cohort based
Level
Intermediate
Working professionals
Certification
NITA reimbursable
For Kenyan cohorts
Language
English
All materials
About this programme
How do banks and financial institutions remain compliant in an environment of increasing regulations, audits, and digital transactions? Effective records management and regulatory compliance are essential for reducing risk, supporting accountability, and maintaining operational integrity.
This course equips participants with practical skills to manage financial records, meet compliance requirements, and strengthen audit readiness. Participants will learn how to develop retention schedules, manage digital records, support anti money laundering (AML) documentation requirements, and prepare for regulatory reviews through practical exercises and real world case studies.
Duration
5 days
Who Should Attend
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Records managers and compliance officers in banking and financial services
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Legal, audit, and risk management professionals
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Data protection officers and IT security staff
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Branch managers and senior operations officers
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Anyone responsible for financial documentation, reporting, or regulatory compliance
What you'll walk away with
By the end of the training, participants will be able to:
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Understand financial records compliance frameworks (AML, audit, retention laws).
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Develop compliant retention and disposal schedules for financial records.
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Implement best practices for digital recordkeeping in financial institutions.
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Conduct internal compliance audits and risk assessments.
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Prepare effectively for external audits and regulatory reviews.
What we cover, module by module
Module 1: Regulatory Landscape in Financial Services
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Global and local financial regulations (AML, Basel, GDPR, etc.)
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Compliance challenges unique to financial institutions
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Case Study: Regulatory breaches and their consequences
Module 2: Records Retention & Legal Requirements
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Developing compliant retention schedules
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Balancing business needs with regulatory requirements
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Practical Exercise: Drafting a retention schedule for key financial records
Module 3: Anti-Money Laundering (AML) & Fraud Prevention Documentation
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AML recordkeeping requirements
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Detecting and documenting suspicious transactions
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Case Study: Lessons from AML enforcement actions
Module 4: Digital Records & Audit Readiness
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Electronic records management in financial services
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Preparing for internal and external audits
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Practical Exercise: Mock internal audit on digital records compliance
Module 5: Risk Management & Future-Proofing Compliance
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Conducting compliance risk assessments
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Building sustainable governance frameworks
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Case Study & Simulation: Responding to a surprise audit
Where the change lands
Individual Impact
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Navigate AML, audit, and financial reporting requirements with confidence
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Apply compliant retention schedules tailored for the financial sector
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Prepare for regulatory inspections without stress
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Strengthen personal accountability in compliance-related roles
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Enhance decision-making by accessing the right records at the right time
Organizational Impact
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Reduce the risk of costly fines and penalties from non-compliance
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Build stronger trust with regulators, auditors, and customers
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Improve efficiency with streamlined recordkeeping systems
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Strengthen resilience against fraud and financial crime
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Ensure long-term sustainability through compliant data governance
Dates and locations
Upcoming intakes
Every intake is limited to a small cohort. Booking closes when a date fills or three weeks before the start, whichever comes first.
| City | Starts | Ends | Delivery | Book |
|---|---|---|---|---|
NakuruNext | 20 Jul 2026 | 24 Jul 2026 | In-Person | Book |
Kigali | 20 Jul 2026 | 24 Jul 2026 | In-Person | Book |
Accra | 20 Jul 2026 | 24 Jul 2026 | In-Person | Book |
Kisumu | 27 Jul 2026 | 31 Jul 2026 | In-Person | Book |
Johannesburg | 27 Jul 2026 | 31 Jul 2026 | In-Person | Book |
Dakar | 27 Jul 2026 | 31 Jul 2026 | In-Person | Book |
- NakuruNext
20 Jul → 24 Jul·In-Person
Book this intake - Kigali
20 Jul → 24 Jul·In-Person
Book this intake - Accra
20 Jul → 24 Jul·In-Person
Book this intake - Kisumu
27 Jul → 31 Jul·In-Person
Book this intake - Johannesburg
27 Jul → 31 Jul·In-Person
Book this intake - Dakar
27 Jul → 31 Jul·In-Person
Book this intake
Common questions.
Still not sure? Send us a note and a facilitator will get back to you within a business day.
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Course finder
Find the right course for you
Prefer to talk it through? Send us an enquiry and a facilitator will scope a fit within a business day.
For corporate teams
Training 10+ professionals?
We deliver Training on Financial Services Records and Regulatory Compliance in-house at your offices, at a venue we arrange, or fully virtual. Customise the curriculum against your KPIs, and get a bespoke price for the cohort size you need.