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Professional Course

BFSI ProEdge: Compliance, Risk & Financial Governance

The FinTech: Compliance Programs course is a specialized program designed for professionals and students seeking to understand the regulatory and compliance frameworks that govern the rapidly evolving FinTech ecosystem. As financial technologies disrupt global markets, the need for skilled compliance professionals who can navigate digital finance laws, anti-money laundering (AML) regulations, data privacy mandates, and KYC (Know Your Customer) policies has become critical. This self-paced program provides a comprehensive understanding of financial regulations, governance structures, and risk management frameworks that apply to FinTech companies, digital banks, and payment platforms. Learners will gain the knowledge required to ensure transparency, consumer protection, and regulatory alignment in digital financial operations. Certification Partner: CPD, UK

120 Days Banking & Financial Services Professionals & more

About this program

    Course Introduction

    The BFSI ProEdge program provides essential skills in compliance, risk management, and financial governance for the modern Banking, Financial Services, and Insurance (BFSI) sector. The course simplifies key regulatory areas—AML/KYC, licensing frameworks, cybersecurity, data privacy, RegTech, and operational risk—through practical, industry-focused learning.

    Learners gain hands-on exposure to compliance workflows, governance structures, and real case studies from banks, fintechs, NBFCs, and digital finance firms. By the end, participants are equipped for roles in compliance, risk analysis, governance, audit, and regulatory operations across the BFSI ecosystem.

    Learning Objectives

    Understand the structure and evolution of the global BFSI landscape and its regulatory ecosystem.

    Learn principles of financial compliance, licensing frameworks, and cross-border regulatory requirements.

    Interpret AML/KYC procedures, customer risk profiling, and financial crime prevention standards.

    Understand data privacy regulations, cybersecurity frameworks, and consumer protection norms.

    Explore RegTech innovations and automation tools used to streamline compliance operations.

    Learn risk management fundamentals, governance structures, and internal control mechanisms in BFSI institutions.

    Apply concepts using practical case studies from banks, neobanks, and digital finance enterprises.

    Course Modules

    Module 01: Introduction to FinTech & Regulatory Environment – Global FinTech evolution, emerging technologies, and the role of compliance in digital finance.

    Module 02: Financial Regulations & Licensing Frameworks – Banking and payment licensing, regulatory sandboxes, and cross-border compliance structures.

    Module 03: AML/KYC Compliance in Digital Finance – Anti-money laundering standards, CDD, and transaction monitoring workflows.

    Module 04: Data Privacy, Cybersecurity & Consumer Protection – GDPR, data localization, cyber risk controls, and identity verification frameworks.

    Module 05: RegTech & Automated Compliance Tools – AI-driven compliance systems, fraud detection tools, and continuous monitoring technologies.

    Module 06: Risk Management & Governance Frameworks – Internal controls, compliance reporting, and governance models for digital financial enterprises.

    Module 07: Case Studies & Final Assessment – Real-world case studies from payment gateways, neobanks, and digital asset platforms.

What you'll learn

  • Demonstrate a clear understanding of global FinTech ecosystems, regulatory structures, and compliance mandates.
  • Interpret and apply key financial regulations, licensing requirements, and risk governance frameworks.
  • Implement AML/KYC procedures, customer due diligence protocols, and transaction monitoring standards.
  • Analyse data privacy, cybersecurity, and consumer protection laws relevant to digital financial services.
  • Evaluate the role of RegTech tools in automating compliance, fraud detection, and reporting workflows.
  • Develop risk management strategies, internal control systems, and compliance documentation for FinTech operations.
  • Apply real-world regulatory insights through case studies of payment systems, neobanks, and digital asset platforms.

Tools you'll master

Risk Assessment Frameworks Compliance Monitoring Systems Financial Reporting Dashboards KYC/AML Screening Tools Regulatory Documentation Tools

Meet your instructors

Course Author and Director

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Mr. Shyam Saroff

Chartered Accountant from India, CPA (US), CMA (US), ACMA, CS, ICFAI, ACTM, MBA and a Bachelor of Commerce graduate from Calcutta University

Mr. Shyam Sarrof is a Chartered Accountant from India and the Founder and Managing Director of Delphi Consultancy & Education in the UAE and India. He is also a CPA (US), CMA (US), ACMA, CS, ICFAI, ACTM, MBA and a Bachelor of Commerce graduate from Calcutta University. With over 22 years of experience, including a long tenure in the Middle East since 2006, he has worked with Fortune 500 companies, Big 4 firms, government entities and publicly listed organizations in industries such as oil and gas, petrochemicals, construction, real estate, healthcare, retail, hospitality, catering and education. His work spans Enterprise Risk Management, internal controls, regulatory compliance, audit and financial and commercial management. Having conducted 200+ corporate trainings and served as an Assessor for a prestigious business excellence award, he brings a unique blend of technical depth and practical insight to FinTech compliance, governance and risk management topics.

Who is this for?

Banking & Financial Services Professionals, Compliance, Audit & Risk Management Aspirants, Commerce, Finance & Management Students, Chartered Accountant / Company Secretary Aspirants, NBFC, FinTech & Microfinance Employees, Insurance Professionals, Entrepreneurs in FinTech & Financial Startups