Compliance Management And Internal Control

Course Overview:

Compliance with SBP regulations and bank’s policies and procedures is extremely essential for the business to move forward. All departments in any bank must ensure compliance through strict controls established within the department.

This 1-day course focuses on the scope of compliance, the responsibility, common exceptions that occur at branches and the best practices for compliance and control to avoid and resolve any exceptions.

Audience Profile:

  • Years of experience: 0-2 Years
  • Academic Qualification: Graduation
  • Area of business: Br. Banking/Operations
  • Language Proficiency: English and Urdu


Learning Outcomes Include:

Upon completion of this course, participants shall be able to:

  • Explain the concept and scope of compliance
  • Differentiate between compliance, audit and internal control
  • Discuss the importance, process and scope of regulatory compliance
  • Explain the internal control techniques of that help avoid compliance lapses at the branch level
  • List the types of common exceptions that occur at bank branches
  • Explain the process of reporting and resolution of common exceptions at branches


One Day