Courses for Banking Professionals

Will you please provide me the Indian Institute of Banking & Finance Certified Banking Compliance Professional Course details?

The Indian Institute of Banking & Finance Certified Banking Compliance Professional Course details are here:

Certified Banking Compliance Professional Course

Eligibility:
The applicant should have follows:

Members of IIBF who have passed CAIIB and working in Banks
Members of ICSI (who have passed final CS course)

Course coverage:
Risk Management in banking and financial institutions covering inter-alia Credit
Risk Management, Operations Risk Management, Market Risk and organization of risk functions in Banks

Legal and Regulatory aspects of Risk, Governance and Compliance

Compliance function - Roles and Responsibilities

Exam fees:

For Members of IIBF For Members of ICSI
First two attempts `6,742/- `6,742/-
Subsequent each attempt `3,371/- `3,371/-

MEDIUM OF EXAMINATION
The Examination will be conducted in English only.

PATTERN OF EXAMINATION
Question Paper will contain approximately 120 objective type multiple choice questions for a total of 100 marks

The Examination will be of 2 hours duration

The examination will be held in Online Mode only.

Contact;
Indian Institute of Banking & Finance
Kohinoor City, Commercial-II, Tower-1, 2nd Floor,
Kirol Road, Kurla (West), Mumbai - 400 070
022-2503 9746 / 9604 / 9907 Fax : 022-2503 7332

Map:

The Indian Institute of Banking and Finance (IIBF) is India’s premier institute in banking and finance education. It was established in 1928. It is located in Kurla West, Mumbai, India.

Certified Banking Compliance Professional Course

Eligibility

Candidate should be member of ICSI and / or CAIIB holders working in banks.

Fees

The examination fee will be Rs.6,742/- inclusive of service tax for two papers and two attempts.

For additional two attempts the fee will be Rs.3,371/- per attempt.

Methodology

The Certificate Course comprises of two stages namely : lMCQ based online Examination in two papers viz.,

a) Risk, Regulation & Governance and
b) Compliance in banks

Course Syllabus
Paper-I : Risk, Regulation & Governance

Module - A : An overview

a) Risk definition / policies

Risk Process-Risk Organization
Key risks-Credit risk, market risk,operational risk, liquidity risk, legal risk, interest rate risk and currency risk

b) Asset Liability Management

ALM Concept
ALM organization
ALCO techniques / tools
Simulation, Gap, Duration analysis, Linear and other statistical methods of control

c) Risk measurement & Control

Calculation
Risk exposure analysis
Risk management / mitigation policy
Risk immunization policy / strategy for fixing exposure limits
Risk management policy and procedure
Risk adjusted return on capital
Capital adequacy norms

d) Risk management

Capital adequacy norms
Prudential norms
Exposure norms
Concept of Mid office
Forwards
Futures
Options
Strategies and Arbitrage opportunities
Regulatory prescriptions of risk management

Module - B : Credit Risk Management

Introduction
Basel-I
Three pillars of Basel-II and Capital for Operational risk
Frame work for risk management
RBI guidelines on risk management
Risk rating and risk pricing
Methods for estimating capital requirements
Credit risk - standardized approach
Credit risk - advanced approach
Credit rating / credit scoring and rating system design
Credit Bureaus
Stress test and sensitivity analysis
Internal Capital Adequacy Assessment Process(ICAAP)
Introduction to structured products

Module - C : Operational Risk

Introduction, Basel-I & II
RBI guidelines
Likely forms of operational risk and causes for significant increase in operational risk
Sound Principles of Operational Risk Management (SPOR)
SPOR - organizational set up and key responsibilities of ORM
SPOR - policy requirements and strategic approach for ORM
SPOR identification, measurement, control / mitigation of operational risks
Capital allocation for operational risk, methodology, qualifying criteria for banks for the adoption of the methods
Computation of capital charge for operational risk

Module - D : Market risk

Introduction and definition
Prescriptions of Basel-I & II
Liquidity risk
Interest rate risk
Foreign exchange risk
Price risk (Equity)
Commodity risk
Treatment of market risk under Basel

a) Standardized duration method

b) Internal measurement approach - VaR

Basel-III guidelines

Risk Management Policy - ALCO structure and functions.

Paper-II : Compliance in banks

Module I-Regulation and Regulatory framework

Need for regulation in banks; importance of regulation, the role of regulators, the instruments of regulation, regulatory models, regulatory authorities.

Module II- Compliance programme

Compliance Risk and significance of Compliance Function; Compliance Policy; Compliance principles, process and procedures; Steps taken by Banks for compliance; Scope of compliance function; The Compliance Programme

Compliance governance structure; Organizational structure; Responsibility of the Board and Senior Management; Compliance structure at corporate office; Functional departments; Field level; Internal controls and its importance

Compliances issues; Compliance Risk; Inherent risk and Control risk; Independent testing and effective audit programme; Reporting Framework and Monitoring compliance, Reporting of breaches / non-compliances observed; Role of Audit and Inspection; Essentials for good compliance

Creating compliance culture across the organization; Governance, risk and compliance - GRC framework; Benefits of Taking an Integrated GRC Approach; Whistleblower mechanism; The Components of a Whistle-Blower Policy ; Reasons for compliance failures

Module III- Regulatory compliances

Disclosures in Financial statements of Banks; Disclosure Requirements; Capital; Repo Transactions, Investment Portfolio; Derivatives; Asset Quality; Asset Re-construction, Business Ratios; Asset Liability Management; Accounting Standard; Disclosures relating to Securitisation

Exposure norms; credit exposure to individuals / groups; exposure to certain industries; exposure to capital markets; exposures to joint ventures abroad

Computation of CRR / SLR

Capital adequacy, Basel II, Basel III

KYC / Anti-Money Laundering guidelines

Module IV- Statutory, Regulatory Restrictions and Guidelines on Loans and Advances

Statutory, Regulatory restrictions on certain sectors

Priority sectors and MSME

Interest rates on advances

NPA regulations

Module V- Foreign currency operations under FEMA and other regulations

Investment in India and abroad

Guidelines for exports

Guidelines for External commercial borrowings (ECB)

Money changing, Miscellaneous Remittances from India - Facilities for Residents; Remittance Facilities for Non-Resident Indians / Persons of Indian Origin / Foreign Nationals; Risk Management and Inter-bank Dealings

Guidelines for import of goods and services

Deposit accounts for NRIs; Memorandum of Instructions for opening and maintenance of Rupee / Foreign Currency / Vostro Accounts of Non-resident & Exchange Houses

Module VI-Guidelines for customer service

Customer Service Committee of the Board; Role of the Customer Service Committee; Board approved policies on Customer Service, government business, Frauds

Financial distribution : Insurance, Mutual funds

Alternate delivery channels : credit / debit cards; smart cards; NEFT; RTGS

Contact details

Indian Institute of Banking and Finance
109 - 113, Vikrant towers,Ist floor, 4, Rajendra place, Prasad Nagar, Karol Bagh, New Delhi, Delhi 110008 ‎

Map location

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