About the Course
Regulators expect you to evidence not only that your institution complies, but that your data governance processes make that compliance repeatable, auditable, and resilient across business lines and jurisdictions. In financial services, you must show clear ownership of critical data elements used in capital adequacy, liquidity risk, anti-money laundering (AML), sanctions screening, and conduct reporting. You need capabilities in data lineage mapping, data quality monitoring, control design and testing, regulatory reporting traceability, and issue remediation tracking, often aligned to standards such as BCBS 239 for risk data aggregation, ISO/IEC 27001:2022 for information security, and the DAMA-DMBOK data governance reference model. Without a structured way to govern customer, product, and transaction data, you face fragmented systems, inconsistent metrics, and regulatory findings that consume management attention and remediation budgets.
This data governance and compliance in financial services course turns scattered regulatory knowledge and ad hoc data controls into a structured, institution-wide system. Across five days, you develop capabilities in designing a financial data governance operating model, building a data control library linked to COSO compliance components, defining critical data elements for regulatory reports, mapping end-to-end data lineage across core banking and risk systems, configuring data quality rules and thresholds, documenting policies and standards, and preparing evidence for internal audit and supervisory reviews. You also gain experience using tools and methods such as metadata repositories, data catalogs, AI-assisted data discovery, and automated compliance dashboards. In practical workshops, you will practice designing a financial data governance charter, defining data ownership for specific regulatory use cases, mapping lineage for a key risk report, and drafting a regulator-ready data governance summary, while you will be introduced at overview level to more advanced topics such as data mesh concepts and privacy-enhancing technologies.
Financial institutions rarely have unlimited budgets, fully rationalized system landscapes, or greenfield data platforms. You work within legacy cores, multiple booking centers, vendor solutions, and overlapping regulatory deadlines. This course assumes those constraints and focuses on pragmatic, risk-based implementation steps that fit your current architecture and maturity. Whether you operate in retail banking, wholesale markets, insurance, or asset management, you leave with a prioritized roadmap and practical templates to strengthen data governance, close compliance gaps, and support safe digital transformation.
Target Audience
This course is designed for financial-sector professionals who shape, manage, or rely on governed, compliant data in their daily decisions and reporting.
- Chief Data Officer (CDO) responsible for enterprise data governance in a financial institution
- Data Governance Manager overseeing policies, standards, and stewardship for financial data
- Financial Risk Data Analyst managing BCBS 239 risk aggregation and reporting datasets
- Regulatory Reporting Manager accountable for prudential, statistical, and transaction reports
- Compliance Officer for AML, KYC, and sanctions programs dependent on accurate data
- Information Security Manager aligning ISO/IEC 27001 controls with financial data assets
- Data Architect in banking, insurance, or asset management designing governed data flows
- Internal Audit Manager reviewing data governance and regulatory compliance effectiveness
- Business Product Owner for lending, payments, or trading platforms reliant on trusted data
- Technology or Transformation Lead implementing data platforms and governance tools in finance
Course Objectives
This course equips you to design, execute, and measure financial data governance initiatives that reduce regulatory risk, support secure analytics, and align with supervisory expectations.
- Analyze your institution’s current data governance maturity using the DAMA-DMBOK reference model.
- Identify critical data elements for BCBS 239, AML, and prudential reporting requirements.
- Design a financial data governance operating model with clear roles, RACI, and stewardship.
- Develop data quality rules, metrics, and dashboards for key risk and finance data sets.
- Evaluate existing controls against ISO/IEC 27001:2022 and COSO compliance components.
- Map end-to-end data lineage for a regulatory report using metadata and data catalog tools.
- Implement a risk-based data control library linked to specific regulatory obligations and SLAs.
- Synthesize governance metrics and findings into a regulator-ready data governance summary pack.
Requirements & Prerequisites
You should have basic familiarity with financial services processes such as customer onboarding, lending, payments, trading, insurance policy administration, or investment operations. Prior exposure to risk, compliance, IT, or data management is helpful but not mandatory. Comfort reading data models, process maps, or control descriptions will make exercises easier. No specific programming skills are required, though you should be able to work with spreadsheets and simple analytics dashboards.
Professional and Organizational Impact
When you lead data governance and compliance in financial services with credible evidence and practical controls, you become a trusted advisor to risk, compliance, and executive leadership.
- Build hands-on expertise in designing financial data governance frameworks and charters.
- Gain confidence mapping data lineage for risk, finance, and regulatory reporting flows.
- Strengthen your ability to define and monitor data quality KPIs for critical datasets.
- Enhance credibility with regulators through well-structured governance documentation and evidence.
- Develop practical skills using data catalogs, metadata tools, and compliance dashboards.
- Position yourself for senior roles in data governance, CDO functions, or risk data teams.
- Expand your capacity to balance innovation, analytics, and regulatory expectations on data use.
Organizations that embed data governance and compliance excellence into financial operations reduce regulatory exposure, stabilize reporting, and support sustainable digital transformation.
- Reduced regulatory risk through traceable, well-controlled risk and finance data pipelines.
- Lower remediation costs from fewer data-related findings in audits and supervisory reviews.
- Improved accuracy and timeliness of prudential, AML, and transaction reporting outputs.
- Stronger resilience of digital channels through better control of customer and transaction data.
- Enhanced trust in analytics, models, and AI applications built on governed financial data.
- Clearer accountability for data ownership across business, risk, finance, and IT functions.
- Better competitive positioning as a data-reliable institution for partners and regulators.
Training Methodology
This is a practical, outcome-driven course designed to turn financial-sector data governance aspirations into measurable controls, clear documentation, and regulator-ready evidence.
Methodology includes:
- Hands-on calculation of data quality metrics for key risk indicators using sample banking datasets.
- Scenario simulation of an AML data breakdown affecting suspicious activity reporting timelines.
- Assessment of a sample institution against DAMA-DMBOK and BCBS 239 self-assessment checklists.
- Stakeholder and reporting-chain mapping for a critical regulatory report from source to supervisor.
- Case study analysis across retail banking, insurance, asset management, and payments providers.
- Group workshop creating a concise data governance charter and RACI under time constraints.
- Reflection exercise benchmarking your current practices against ISO/IEC 27001 controls and audit findings.
Upcoming Sessions
Next available dates worldwide
Certification
Recognized credentials that advance your career
Participants who complete the Data Governance and Compliance in Financial Services Training Program earn a Trainingcred Certificate of Achievement, demonstrating professional competence and alignment with global standards in learning and development.
NITA Accredited
Accredited by the National Industrial Training Authority, ensuring programs meet nationally recognized standards of quality and relevance.
CPD Certified
Recognized by the CPD Certification Service, ensuring every program meets internationally benchmarked standards of professional excellence.
Why this course earns its place on your CV
Accredited training, practitioner trainers, and peers on the same career track — the three things real expertise is built on.
Effective Learning & Skill Development
- Build expertise with structured, outcome-driven learning.
- Equip individuals and teams with skills that grow with industry needs.
- Reinforce learning through real-world scenarios, case studies and practical exercises.
Career Growth & Professional Advancement
- Apply what you learn with a proven methodology that ensures lasting impact.
- Develop immediately usable skills that translate directly into workplace success.
- Gain the expertise needed for career advancement and leadership roles.
Training Optimization & Learning Excellence
- Tailor training to industry-specific challenges and organizational goals.
- Use data-driven insights and automation to enhance training effectiveness.
- Evaluate progress and ensure long-term learning success.
