Risk-Based Compliance Management for Financial Institutions

Building an Effective, Risk-Based Compliance Function

Date: 12^th October 2026
Venue: DoubleTree by Hilton Kuala Lumpur

Classroom Training

WHY THIS PROGRAM?

Compliance has evolved beyond regulatory adherence into a strategic function that supports sound governance, effective risk management and sustainable business performance. As regulatory expectations continue to evolve, financial institutions are expected to demonstrate not only compliance with applicable laws and regulations, but also robust governance arrangements, effective oversight, risk-based compliance programmes and a culture that promotes ethical conduct and accountability across the organisation.

This practical programme examines how leading financial institutions design, implement and continuously strengthen their compliance functions in line with regulatory expectations and industry best practice. Participants will explore how governance structures, compliance risk assessments, monitoring and testing programmes, regulatory reporting and issue management work together to provide effective compliance oversight. The programme also considers the growing role of data, technology and emerging regulatory developments in shaping modern compliance management.

Through practical discussions, case studies and real-world scenarios, participants will gain actionable insights into building a more effective, risk-based compliance function that supports organisational resilience, strengthens stakeholder confidence and enhances regulatory engagement.

Learning Methodology

This programme adopts a highly interactive, practical and discussion-based learning approach designed specifically for compliance, risk and governance professionals. Drawing on real-world regulatory scenarios and industry experience, the programme encourages participants to apply concepts directly to the challenges faced within their own organisations.
Participants will benefit from:
- Interactive instructor-led sessions
- Practical case studies and regulatory scenarios
- Group discussions and peer learning
- Workshops and hands-on exercises
- Scenario-based compliance risk assessments and decision-making exercises
- Practical tools, templates and implementation guidance that can be applied in the workplace
The emphasis throughout the programme is on translating regulatory expectations and industry best practice into practical, risk-based compliance management that can be implemented within financial institutions.

Key Learning Outcomes and Takeaways

By the end of the program, participants will be able to:
- Interpret Bank Negara Malaysia's regulatory expectations relating to governance, accountability and compliance management, and understand their practical application within financial institutions.
- Design and apply a risk-based approach to compliance planning, compliance risk assessment and regulatory assurance, aligned with BNM's supervisory expectations and industry best practice.
- Develop effective compliance monitoring, testing, reporting and escalation frameworks that support timely identification, remediation and regulatory engagement.
- Evaluate the effectiveness of compliance governance, culture and oversight using practical performance indicators and continuous improvement methodologies.
- Strengthen collaboration between Compliance, Risk Management, Internal Audit and business functions in line with the Three Lines Model and BNM's expectations for effective governance and control.
- Assess the implications of emerging developments for regulatory compliance and governance within financial institutions.
These learning outcomes ensure participants progress from conceptual understanding to practical application and evaluation of compliance frameworks.

AGENDA

Module 1: Building an Effective Risk-Based Compliance Framework (9.00am – 10.30am)

Regulatory expectations and compliance roles
Compliance governance and accountability
Three Lines Model and governance, risk and compliance
Embedding compliance into the business

Module 2: Assessing Compliance Risks and Developing a Compliance Plan (10.45am – 12.15pm)

Identifying compliance risks
Assessing and prioritizing risks
Developing a risk-based compliance plan
Gap analysis and regulatory assurance

Module 3: Monitoring, Testing and Reporting Compliance Risks (1.15pm – 2.45pm)

Compliance monitoring and testing
Issue management and remediation
Compliance reporting and escalation
Regulatory inspection and engagement

Module 4: Strengthening Compliance Effectiveness and Culture (3.00pm – 5.00pm)

Measuring compliance effectiveness
Building a compliance culture
Technology and data in compliance
Continuous improvement and best practice

Close of Program

EXPERT COURSE DIRECTOR

Lan Yann Erl is an accomplished Governance, Risk & Compliance (GRC) practitioner with over 26 years of senior leadership experience across leading financial institutions. She brings deep expertise in operational risk management, regulatory compliance, internal audit, and risk-based assurance, with a strong track record of strengthening control environments, embedding compliance culture, and enhancing institutional resilience. Lan is a trusted advisor to senior management and Boards, having worked extensively with Board Committees on governance oversight, regulatory expectations, and risk management effectiveness. Her experience includes designing and enhancing operational risk and compliance frameworks, leading thematic reviews and special investigations, managing regulatory engagements with Bank Negara Malaysia, and overseeing remediation of supervisory findings. She is formally accredited as an HRD Corp Malaysia–Accredited Trainer and is highly regarded for designing and delivering impactful governance, regulatory compliance, and operational risk training programs for Board members, senior management, and business units. Her training approach is practitioner-led and experience-based, focused on translating regulatory and risk requirements into clear, practical, and business-relevant actions. Lan has held senior roles including Head of Group Regulatory Advisory, Head of Compliance Governance, Head of Group Operations Control, and Head of Operational Risk Management. Across these roles, she led enterprise-wide risk framework implementation, control testing programs, breach investigation and reporting, business continuity and resilience initiatives, and first-line risk ownership models aligned to the Three Lines of Defense. Her professional qualifications include Chartered Banker, certifications in compliance, AML/CFT, governance, and digital banking, and formal accreditation as an HRD Corp trainer. She is a Fellow of the International Compliance Association (FICA) and a Professional Member of the Institute of Operational Risk (UK).

WHO WILL BENEFIT FROM THIS PROGRAM?

This programme is designed for professionals responsible for governance, compliance, risk management and regulatory oversight within financial institutions, including:
- Chief Compliance Officers, Compliance Officers and Compliance Managers
- Risk Management professionals
- Internal Audit professionals
- Legal, Regulatory Affairs and Company Secretariat personnel
- Governance, Control and Operational Risk professionals
- Business and Functional Heads with regulatory or compliance responsibilities
- Senior managers responsible for governance, oversight and regulatory engagement
- Professionals involved in compliance monitoring, regulatory reporting or policy implementation
- Individuals seeking to strengthen their practical understanding of modern, risk-based compliance management

REGISTRATION

*Please note there is a fee for attending this program. Please contact us for more details.

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Before completing this registration form please read and understand our booking and cancellation policy. Thank you.

Booking, Payment and Cancellation Policy – important, please read carefully

By completing, signing and revised, sent separately us this registration form you are conﬁrming participants on the program. You are also conﬁrming your understanding of our Booking, Payment and Cancellation Policy.

Cancellation Policy: If participants cannot attend the program, replacement participants are always welcome. Otherwise, participants must notify us any of cancellations or requests to transfer to a diﬀerent program at least 14 days before the program date to be eligible for a refund, less a 5% administration on fee. Participants who cancel within 14 days of the program start date are liable to pay the full program fee and no refunds will be given. Instead fees will be converted to a REDmoney Seminars voucher equivalent to the original fee, less a 10% administration charge. This voucher is transferable within your organization and must be redeemed within one year of issue or become void. If a program is postponed for whatever reason registrations and fees will be automatically transferred to the new program date. Participants who wish to transfer to a diﬀerent program will be subject to the same terms as above and charged any diﬀerence in fees. No refunds or program vouchers will be issued for a no-show.
Payment Terms: All program fees are payable upon invoice. REDmoney shall receive the full program fee with no deductions of any description. All telegraphic transfer fees, taxes and levies (domestic or otherwise) shall be borne by the sponsoring organization.

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FEE

Fee per participant: RM2,600/US$750

Please note that the Ringgit price is applicable to Malaysia-domiciled participants only. Discounts are available for group bookings. Please contact us for more details.

IN-HOUSE/GROUP TRAINING

If you are looking for an in-house training program or wish to send a group to an existing public program, kindly please contact Andrew Tebbutt at [email protected] or +603 2162 7802.
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