Mastering Financial Compliance and Anti-Money Laundering

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Mastering Financial Compliance and Anti-Money Laundering

位教师：Paweł Mielniczek

包含在中

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4个模块

深入了解一个主题并学习基础知识。

中级等级

推荐体验

1 周完成

在 10 小时一周

灵活的计划

自行安排学习进度

4个模块

深入了解一个主题并学习基础知识。

中级等级

推荐体验

1 周完成

在 10 小时一周

灵活的计划

自行安排学习进度

您将学到什么

Interpret global AML regulations and apply a Risk-Based Approach (RBA) to organizational compliance.
Establish effective compliance governance by defining MLRO roles, accountability, and management oversight.
Conduct compliance gap analyses to identify control weaknesses and prioritize remediation.
Implement KYC/CDD processes, monitor transactions, and prepare defensible Suspicious Activity Reports (SARs).

您将获得的技能

您将学习的工具

Fraud detection

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Petrobras, TATA, Danone, Capgemini, P&G 和 L'Oreal 的徽标

该课程共有4个模块

Master the end-to-end lifecycle of financial compliance and anti-money laundering (AML) in a rapidly evolving regulatory environment. This course equips you to interpret global frameworks such as FATF recommendations, the Bank Secrecy Act (BSA), and EU AML directives, and apply them using a practical, risk-based approach (RBA).

You will learn how to design compliance programs that go beyond checklist execution—covering governance, gap analysis, KYC/CDD processes, transaction monitoring, and Suspicious Activity Report (SAR) preparation. The course also demonstrates how to use Generative AI tools like Microsoft Copilot and Google Gemini to streamline policy drafting, regulatory analysis, and risk assessment. Designed for compliance professionals, fintech teams, and finance practitioners, this course provides a structured, audit-ready framework to manage regulatory risk, improve operational efficiency, and strengthen financial crime detection across global business environments.

This module demystifies the complex web of global financial regulations, moving beyond rote memorization to practical application. It helps learners navigate the interplay between global standards (especially the FATF 40 Recommendations), US enforcement (BSA/Patriot Act), and EU AML Directives and AMLA, while establishing a practical Risk-Based Approach (RBA) and leveraging Generative AI to interpret changing legal requirements.

涵盖的内容

11个视频4篇阅读材料1个作业1次同伴评审1个讨论话题

11个视频总计77分钟

Intro Video to Course  4分钟
Module Introduction  3分钟
Comparing Global Standards: FATF Recommendations vs. Local Laws 8分钟
Analyzing the Extraterritorial Reach of US and EU Regulations 9分钟
Mapping Regulatory Obligations to Business Contexts with AI 8分钟
The Philosophy of the Risk-Based Approach (RBA) 6分钟
Building the Risk Scoring Matrix 9分钟
Scoring and Weighting Risks 9分钟
Leveraging AI for Regulatory Intelligence and Updates 6分钟
Summarizing Complex Directives and Regulations with AI 8分钟
Engineering Prompts for Accurate Legal Interpretation 8分钟

4篇阅读材料总计20分钟

Welcome to the Course: Course Overview5分钟
FATF 40 Recommendations 5分钟
EBA Guidelines on ML/TF risk factors 5分钟
Wolfsberg Group Principles for Auditing for Effectiveness 5分钟

1个作业总计20分钟

Navigating the Global Regulatory Landscape20分钟

1次同伴评审总计15分钟

Hands-On-Learning: Build a Risk Assessment Matrix15分钟

1个讨论话题总计10分钟

From Regulation to Worklist: Your ‘Obligation Brief’ in the Real World10分钟

This module establishes the structural backbone of a compliance program. It covers securing management buy-in ("Tone at the Top"), conducting rigorous Gap Analyses to identify vulnerabilities, and leveraging AI to engineer audit-ready policies and procedures.

涵盖的内容

10个视频3篇阅读材料1个作业1次同伴评审1个讨论话题

10个视频总计80分钟

Module Introduction  2分钟
Articulating the ROI of Compliance to Secure Board Buy-In 9分钟
Defining Governance Structures and MLRO Independence 8分钟
Assessing Organizational Compliance Culture and Maturity 7分钟
Fundamentals of Audit Methodology: Design vs. Operating Effectiveness 9分钟
Setting Up a Compliance Gap Analysis Tracker 8分钟
Identifying Control Gaps in a Compliance Scenario 8分钟
High-Level Policies and Standard Operating Procedures (SOPs) 8分钟
AI-Assisted Policy Drafting 10分钟
Validating and Refining AI-Generated Compliance Documentation 11分钟

3篇阅读材料总计15分钟

FATF GUIDANCE Money Laundering National Risk Assessment Guidance 5分钟
World Bank – “Preventing Money Laundering and Terrorist Financing: A Practical Guide for Supervisors” 5分钟
Digital Identity Guidelines - NIST SP 800-63-4 5分钟

1个作业总计20分钟

Building the Foundation: Governance, Audit, and Policy20分钟

1次同伴评审总计15分钟

Hands-On-Learning: Conduct a Compliance Gap Assessment15分钟

1个讨论话题总计10分钟

Policy vs. SOP: What Would You Rewrite First in Your Program?10分钟

This module moves from policy to implementation, focusing on the critical "Know Your Customer" (KYC) and Customer Due Diligence (CDD) processes. Learners will master modern digital onboarding, techniques to unmask Ultimate Beneficial Owners (UBOs) in complex structures, and strategies to manage sanctions screening alerts efficiently using AI.

涵盖的内容

10个视频3篇阅读材料1个作业1次同伴评审1个讨论话题

10个视频总计76分钟

Module Introduction  2分钟
Core Pillars of Customer Identification Programs (CIP) 6分钟
Designing a Compliant Customer Onboarding Workflow 11分钟
Digital Identity Verification 6分钟
Understanding Corporate Structures: Shell Companies and Ownership Layers 7分钟
UBO Investigation Techniques: Tracing Ownership via Public Registries 10分钟
Calculating Beneficial Ownership: Visualizing Control and Percentages 10分钟
Understanding Screening Algorithms: Exact vs. Fuzzy Matching 8分钟
Configuring Matching Thresholds to Balance Risk and Efficiency8分钟
Adjudicating Sanctions Alerts and False Positives with AI 8分钟

3篇阅读材料总计15分钟

EU Commission – eIDAS Levels of Assurance 5分钟
What is Beneficial Ownership Transparency?5分钟
OpenSanctions Documentation Page 5分钟

1个作业总计20分钟

The First Line of Defense: Smart KYC, CDD, and Screening 20分钟

1次同伴评审总计15分钟

Hands-On-Learning: The ‘Who Owns This?’ Challenge 15分钟

1个讨论话题总计10分钟

Design Your ‘Friction Budget’: Where Should Onboarding Get Tough10分钟

The final module focuses on "Detective Controls"—catching the bad actors who made it past the front door. We explore Transaction Monitoring typologies, how to spot "Red Flags," and the art of writing a defensive Suspicious Activity Report (SAR). We conclude with preparing for the inevitable: the regulatory examination.

涵盖的内容

11个视频3篇阅读材料1个作业2次同伴评审1个讨论话题

11个视频总计68分钟

Module Introduction  2分钟
Key Money Laundering Typologies: Smurfing and Trade-Based Schemes 8分钟
Differentiating Between Behavioural Analysis and Threshold Monitoring 6分钟
Identifying Data Anomalies and Transaction Spikes 8分钟
Drafting Effective SAR Narratives: The 5 Ws Framework 5分钟
Accelerating SAR Drafting with Generative AI 8分钟
Creating Defensible Documentation for Regulatory Exams 5分钟
The Feedback Loop: Updating Risks Based on Investigations 7分钟
Preparing Evidence and Strategies for Regulatory Examinations 7分钟
Managing Remediation and Drafting Management Action Plans (MAPs) 8分钟
Course Wrap-Up2分钟

3篇阅读材料总计15分钟

Bank of England - Implementation of Basel 3.1: Final rules (Policy statement 1/26) 5分钟
FinCEN Clarifies Suspicious Activity Reporting Requirements 5分钟
Hong Kong Monetary Authority – Guidance Paper on Transaction Monitoring, Screening and Suspicious Transaction Reporting 5分钟

1个作业总计20分钟

Detective Controls: Transaction Monitoring, Investigations, and Reporting20分钟

2次同伴评审总计45分钟

Hands-On-Learning: Draft a SAR Narrative15分钟
Project: Execute a Full-Cycle AML Investigation and Remediation (NeoPay Case)30分钟

1个讨论话题总计10分钟

Avoiding the ‘Repeat Finding’: What Would You Fix Permanently?10分钟

位教师

Paweł Mielniczek

20 门课程29,568 名学生

提供方

Starweaver

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