Finance and Banking Customer Support Compliance Training Course

Finance and Banking Customer Support Compliance Training Course

Course Introduction

In the dynamic world of finance and banking, customer support professionals play a critical role in ensuring operational excellence, regulatory compliance, and customer satisfaction. Finance and Banking Customer Support Compliance Training Course is designed to equip banking and financial services teams with the latest compliance standards, risk management strategies, and customer-centric support techniques. Participants will gain actionable insights into handling sensitive financial data, adhering to global and local regulations, and mitigating compliance risks while delivering exceptional service. By leveraging interactive learning, real-world case studies, and scenario-based exercises, this course empowers professionals to excel in a rapidly 

 With regulatory frameworks constantly evolving, organizations must ensure their customer support teams are not only compliant but also proficient in ethical decision-making, data protection, fraud detection, and dispute resolution. This program integrates industry best practices, regulatory guidelines, and practical skills development, ensuring participants can navigate complex compliance challenges confidently. By combining hands-on learning, simulations, and expert-led discussions, the course fosters a culture of accountability, professionalism, and customer-first service. Graduates of this program will emerge as compliance-savvy, customer-focused, and risk-aware banking professionals, ready to drive operational efficiency and enhance customer trust.

Course Duration

5 days

Course Objectives

1. Develop a strong understanding of banking regulations and financial compliance frameworks.
2. Master AML (Anti-Money Laundering) and KYC (Know Your Customer) protocols.
3. Enhance risk management and fraud detection skills in customer interactions.
4. Apply data protection and cybersecurity best practices in financial operations.
5. Strengthen ethical decision-making and professional conduct.
6. Improve customer communication strategies in sensitive financial situations.
7. Implement effective dispute resolution and grievance handling techniques.
8. Ensure regulatory reporting and record-keeping accuracy.
9. Develop proficiency in digital banking tools and automated compliance systems.
10. Promote operational efficiency and process optimization in customer support.
11. Gain skills in real-time monitoring of transactions for suspicious activity.
12. Cultivate a customer-first approach while maintaining regulatory adherence.
13. Foster continuous compliance awareness through up-to-date industry knowledge.

Target Audience

1. Banking Customer Support Executives
2. Relationship Managers in Financial Institutions
3. Compliance Officers and Analysts
4. Fraud Detection and Risk Management Professionals
5. Digital Banking Specialists
6. Branch Managers and Team Leaders
7. Call Center Representatives in Banking Sector
8. Regulatory Affairs and Audit Teams

Course Modules

Module 1: Introduction to Banking Compliance

• Overview of financial regulations and global compliance standards
• Importance of regulatory adherence in customer support
• Key compliance frameworks
• Understanding internal policies and SOPs
• Case Study: Failure of compliance in a retail bank branch

Module 2: Anti-Money Laundering (AML) & KYC

• Fundamentals of AML and KYC processes
• Customer identification and verification best practices
• Transaction monitoring for suspicious activity
• Reporting obligations and escalation procedures
• Case Study: Detecting and reporting a high-risk customer transaction

Module 3: Fraud Detection & Risk Management

• Identifying common financial fraud schemes
• Techniques for mitigating operational and transactional risk
• Use of technology and AI in fraud prevention
• Role of customer support in early risk detection
• Case Study: Handling a phishing attempt on a bank customer

Module 4: Data Protection & Cybersecurity

• Protecting sensitive financial information
• Regulatory compliance with GDPR and local data laws
• Cyber threat awareness for support teams
• Secure handling of digital banking channels
• Case Study: Data breach in a digital banking platform

Module 5: Customer Communication & Ethical Conduct

• Professional communication in sensitive scenarios
• Conflict resolution and complaint management
• Upholding ethical standards in customer interactions
• Balancing compliance with customer satisfaction
• Case Study: Resolving a regulatory complaint with high-profile clients

Module 6: Dispute Resolution & Grievance Management

• Effective handling of disputes and escalations
• Documentation and regulatory reporting requirements
• Techniques for negotiating and mediating customer concerns
• Maintaining transparency and accountability
• Case Study: Successful resolution of a compliance-related dispute

Module 7: Regulatory Reporting & Record-Keeping

• Importance of accurate reporting in compliance
• Understanding regulatory forms and filings
• Maintaining comprehensive records for audits
• Internal audits and continuous monitoring
• Case Study: Impact of reporting errors in bank audits

Module 8: Digital Banking & Compliance Automation

• Leveraging digital tools for regulatory adherence
• Automation of KYC, AML, and risk management processes
• Enhancing efficiency in customer support operations
• Monitoring and evaluating automated compliance systems
• Case Study: Successful implementation of AI-based compliance checks

Training Methodology

This course employs a participatory and hands-on approach to ensure practical learning, including:

• Interactive lectures and presentations.
• Group discussions and brainstorming sessions.
• Hands-on exercises using real-world datasets.
• Role-playing and scenario-based simulations.
• Analysis of case studies to bridge theory and practice.
• Peer-to-peer learning and networking.
• Expert-led Q&A sessions.
• Continuous feedback and personalized guidance.

Register as a group from 3 participants for a Discount

Send us an email: info@datastatresearch.org or call +254724527104 

Certification

Upon successful completion of this training, participants will be issued with a globally- recognized certificate.

Tailor-Made Course

 We also offer tailor-made courses based on your needs.

Key Notes

a. The participant must be conversant with English.

b. Upon completion of training the participant will be issued with an Authorized Training Certificate

c. Course duration is flexible and the contents can be modified to fit any number of days.

d. The course fee includes facilitation training materials, 2 coffee breaks, buffet lunch and A Certificate upon successful completion of Training.

e. One-year post-training support Consultation and Coaching provided after the course.

f. Payment should be done at least a week before commence of the training, to DATASTAT CONSULTANCY LTD account, as indicated in the invoice so as to enable us prepare better for you.