Banking compliance e-learning courses

You would like to expose your employees to the key content on compliance and risk management in banking and financial services? You want to expose them to the latest regulations on anti-money laundering, rules of conduct, proper handling of data, and financial market supervision. You would like to validate your employees’ knowledge progress via tests and be able to proof to the financial regulator?

Fintelligence offers a comprehensive online learning & assessment platform on all relevant topics. Our content is constantly updated and expanded. More than 18 modules are available to you. We also offer comprehensive test pools to check the learning progress or general level of knowledge.

For Institutes in Switzerland, we are happy to offer you the following courses:

Fit for FinSA

FADP

The Fintelligence banking compliance e-learning courses include the following modules

Anti-Money Laundering

Concept, regulations and facts
Due Diligence
Identification of contracting partner and of beneficial owner
Risk-based approach (activities and transactions with higher risks, PEP, etc.)

Investment Suitability

Suitability and appropriateness

Code of Conduct

Employee transactions
Criteria for handling gifts
Conflict of interest
Reputation risk

Data Security and Confidentiality

Data Security
Confidentiality

Basics of Cross Border

Principles of cross-border business
FATCA

Compliance Awareness

Compliance Awareness

AEOI

Automatic Exchange of Information (AEOI) in tax matters

Fraud Awareness

Fraud Awareness

FinSA

Aim, purpose and applicability of FinSA
Client segmentation and profiling (incl. opting-in and opting-out)
Assessment of appropriateness and suitability
Obligations to inform the client (ex-ante, ex-post)
Accountability, logging and record-keeping obligations
Comparisons to MIFID II

Swiss Federal Act on Data Protection (FADP)

New data protection law in Switzerland: Background and purpose
Organisation and Data Protection Compliance
Obligations of the data processor
Rights of a person affected by data processing
EU data protection law (GDPR)
Swiss data protection law in relation to EU data protection law
Enforcement of data protection provisions

Individualisation as an option

You as financial institution are free in the selection and composition of the online modules. In close collaboration with you, we align the curriculum thoroughly to your individual business situation and requirements. If you wish, we can also add your own specific contents (e.g. own-brand financial products or own Compliance-directives) to the curriculum.

Reliable measurement of learning progress

Online tests – with multiple choice questions randomly chosen from a comprehensive pool of questions – will reliably track the learning progress over time. By setting pre-defined learning aspiration levels, we enable you and your client advisors to credibly assess the acquired banking knowledge. In addition, you as a financial institution can carry out a certification of your client advisors. This may be managed internally on your own or by mandating Fintelligence.

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Personalised learning, time- and location-independent

The Fintelligence E-learning platform and its online modules enable client advisors to acquire the relevant banking knowledge in a personalized manner, i.e. both time- and location-independently. It also allows to track the learning progress at any time, offering you certainty that your client advisors acquire the required know how.

Regular update of the contents

To make sure that the client advisors are exposed to the most actual and relevant contents, Fintelligence updates the modules in regular intervals and includes the latest insights and trends from practice and theory.

Technical features

The online modules of the Fintelligence e-learning platform can be processed on fixed desktop stations as well as on portable devices such as tablets and smartphones.

Content can be integrated into Fintelligence’s Learning Management System or, thanks to the SCORM interface, into those of other providers.

Downloadable Flyer

For more information download our flyers:

Fintelligence Bank Compliance Flyer

Fintelligence Flyer “Fit for FinSA”

Fintelligence Flyer “FADP”

Learn more on our online learning platform in the following video.

Watch a video from our anti-money laundering video case series: