Risk, Compliance and AMLRegulatory Reporting for Financial Institutions
Regulatory returns are prepared under deadline from systems that were built for accounting rather than for supervision, and a resubmission tells a regulator something about the institution well beyond the numbers being corrected. This course covers getting them right first time. Delegates work through the reporting framework and which returns apply at what frequency, the data lineage from source system to submitted figure that makes a number defensible, and reconciliation between regulatory returns and the financial statements, where differences are legitimate but must be explained. Common return families covering capital, liquidity, credit and large exposures are worked through. Validation rules and the errors that trigger rejection are covered. The course closes on governance, sign off and handling a supervisory query.
Course objectives
- Identify which returns apply, at what frequency and on what basis
- Establish data lineage from source system to submitted figure
- Reconcile returns against the financial statements and explain differences
- Prepare capital, liquidity, credit and large exposure returns
- Apply validation rules and avoid the errors that cause rejection
- Govern preparation, review and sign off
- Respond to a supervisory query and manage a resubmission
Who should attend
- Regulatory reporting and finance staff in banks
- Compliance and risk personnel
- Internal auditors reviewing returns
- Systems staff supporting reporting data
- Supervisory and central bank staff
Course outline
- 01What a resubmission tells a regulator
- 02The reporting framework and applicable returns
- 03Data lineage and defensible numbers
- 04Reconciliation to the financial statements
- 05Capital and liquidity returns
- 06Credit and large exposure returns
- 07Validation rules and rejections
- 08Governance, sign off and supervisory queries
Scheduled sessions
| Dates | Venue | Format | Price | Register |
|---|---|---|---|---|
| 28 to 30 September 2026 | Port Louis, Mauritius | Classroom | USD 995 per delegate | Register Now |
| 20 to 22 January 2027 | Nairobi, Kenya | Classroom | USD 995 per delegate | Register Now |
| 22 to 24 February 2027 | Lagos, Nigeria | Classroom | USD 995 per delegate | Register Now |
| 1 to 3 March 2027 | Johannesburg, South Africa | Classroom | R14,950 per delegate | Register Now |
| 17 to 19 March 2027 | Online | Online | R6,500 per delegate | Register Now |