Mastering Compliance & AML For Non-bank Firms: Regulatory Foundations To Risk-based Practices
About this course
Build foundational understanding of why compliance matters for non-bank firms and who regulates them.
Before We Begin
1 Parts
- 0:20 Hr
Before We Begin
20 Min
Prerequisites & Readiness Check
1 Parts
- 0:15 Hr
Prerequisites for Mastering Compliance & AML for Non-Bank Firms
15 Min
Chapter 1: Introduction to Compliance & AML in India
2 Parts
- 1:30 Hr
Why Compliance Matters for Non-Bank Firms
45 Min
Key Regulators & Their Expectations
45 Min
Chapter 2: Understanding Money Laundering & Red Flags
2 Parts
- 1:30 Hr
Three Stages of Money Laundering
45 Min
Top 10 Red Flags in Non-Bank Firms
45 Min
Chapter 3: Know Your Customer (KYC) & Risk-Based Approach
2 Parts
- 1:30 Hr
Customer Due Diligence (CDD) Process
45 Min
Ultimate Beneficial Owner (UBO) Identification
45 Min
Chapter 4: Suspicious Transaction Reporting (STR)
2 Parts
- 1:30 Hr
When & How to File STR
45 Min
Common STR Triggers in Non-Banks
45 Min
Chapter 5: Sanctions Screening & Global Risks
2 Parts
- 1:30 Hr
India & Global Sanctions Lists
45 Min
OFAC 50% Rule (Simplified)
45 Min
Chapter 6: Record-Keeping & Data Privacy
2 Parts
- 1:30 Hr
PMLA Record-Keeping Rules
45 Min
DPDP Act 2023 Compliance
45 Min
Chapter 7: Designing Compliance Policies
2 Parts
- 1:30 Hr
Must-Have Policies for Non-Banks
45 Min
Role of Principal Officer
45 Min
Chapter 8: Transaction Monitoring (Manual Methods)
2 Parts
- 1:30 Hr
Daily Monitoring Checklist
45 Min
Excel-Based Risk Scoring
45 Min
Chapter 9: Emerging Risks: ESG, Crypto, Trade
2 Parts
- 1:30 Hr
ESG Greenwashing Laundering
45 Min
Crypto & Trade-Based Laundering
45 Min
Chapter 10: Internal Audit & Regulator Inspection
2 Parts
- 1:30 Hr
Preparing for RBI/SEBI Inspection
45 Min
Common Audit Findings & Fixes
45 Min
Chapter 11: Global Standards & India’s Leadership
2 Parts
- 1:30 Hr
FATF Standards (Simplified)
45 Min
India’s Role in Global AML
45 Min
Capstone Project 1
1 Parts
- 1:40 Hr
NBFC Compliance Dashboard with Risk-Based Customer Scoring
100 Min
Capstone Project 2
1 Parts
- 1:40 Hr
End-to-End NBFC Inspection Readiness Toolkit (RBI + SEBI + PMLA)
100 Min
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