This course focuses on best practice control structures and risk management frameworks for the monitoring of compliance risks in a contemporary Fintech environment. The course initially addresses the compliance risks and regulatory guidance related to the outsourcing of critical services and the importance of robust vendor evaluation. The outlines the control and oversight structures required to manage multiple third-party service providers in evolving Fintech operating models, and emphasises the role of the compliance function, throughout the customer’s lifecycle.
40%: Blend of competency based MCQs & scenario analysis
60%: Final Examination
On the successful completion of this course learners will be able to:
1. Analyse the compliance risks and regulatory guidance associated with Fintech’s outsourcing of critical services.
2. Assess vendor evaluation procedures and implement a risk management framework for Fintech operating models.
3. Define the control and oversight structures required to manage the operational resilience of multiple integrated service providers.
4. Identify the sources of compliance and regulatory risks throughout the lifecycle of a customer in a Fintech environment.