Certified AML-KYC Compliance Officer Table of Contents


Table of Content
 

 

Module 1: Financial Crime — Concepts & Legal Foundations

  • Core Concepts
  • The Legal Framework
  • The Global Regulatory Journey
  • Practical Application

Module 2: Laundering Process, Methods & Modern Typologies

  • The Three-Stage Model — Deep Dive
  • Traditional Laundering Methods
  • Hawala & Informal Value Transfer Systems
  • Digital-Era Typologies
  • Terrorist Financing & Proliferation Financing
  • Building a Red-Flag Library for Investigative Use

Module 3: Global Regulatory Architecture

  • The FATF Framework
  • Global Standard-Setting Bodies
  • Major Regional and National Regimes
  • International Cooperation Architecture
  • Comparative Regulatory Analysis

Module 4: Indian Regulatory Deep-Dive

  • The RBI KYC Framework
  • SEBI, IRDAI, and PFRDA KYC Frameworks — Sectoral Variations
  • Records, Reporting, and Governance
  • Enforcement and Judicial Precedents

Module 5: Customer Due Diligence — Advanced Practice

  • Customer Acceptance Policy
  • Customer Identification Procedure
  • Standard vs. Simplified vs. Enhanced Due Diligence
  • Politically Exposed Persons
  • Beneficial Ownership and UBO Identification
  • Source of Wealth vs. Source of Funds
  • Adverse Media Screening
  • Ongoing and Continuous CDD
  • Customer Risk Scoring Models

Module 6: Digital Onboarding & KYC Technology

  • Aadhaar-Based eKYC and OTP-Based eKYC
  • Video Customer Identification Process (V-CIP)
  • Central KYC Records Registry (CKYCR) and CERSAI
  • DigiLocker Integration in KYC Workflows
  • API-Driven Onboarding and the Account Aggregator Framework
  • Biometric Authentication and Liveness Detection
  • Digital Identity Fraud
  • Data Protection in KYC

Module 7: Sanctions Compliance

  • Global Sanctions Regimes
  • Designing a Sanctions Compliance Program
  • List-Based Screening vs. Risk-Based Screening
  • Name-Matching Algorithms
  • Sectoral Sanctions, Secondary Sanctions, and Extraterritorial Risk
  • Trade Sanctions, Export Controls, and Dual-Use Goods
  • Sanctions Evasion Typologies
  • Case Studies — Major Sanctions Enforcement Actions

Module 8: Transaction Monitoring & Financial Crime Analytics

  • Transaction Monitoring System Design
  • Threshold Setting, Tuning, and ATL/BTL Testing
  • Rule-Based vs. AI/ML-Based Monitoring
  • Network Analysis and Link-Analysis Techniques
  • Alert Management
  • False Positive Reduction Strategies and Model Governance
  • Behavioral Analytics and Anomaly Detection
  • Case Management Systems
  • Model Risk Management

Module 9: Virtual Assets, Crypto & Fintech AML

  • FATF Guidance on Virtual Assets and VASPs
  • Travel Rule Implementation
  • Wallet Screening and Blockchain Forensics
  • Stablecoins
  • DeFi Protocols and Unhosted Wallets
  • MiCA and Comparable Crypto-Asset Regulatory Regimes
  • India’s Regulatory Stance on Virtual Digital Assets
  • NFTs, Gaming Economies, and Emerging Laundering Vectors
  • Buy-Now-Pay-Later, Neobanks, and Embedded Finance

Module 10: Trade-Based Money Laundering & Correspondent Banking

  • Correspondent Banking Relationships
  • Correspondent Banking Due Diligence Questionnaire
  • Wire Transfer Rules
  • Trade Finance Documentation Red Flags
  • Free Trade Zones and High-Risk Trade Corridors
  • De-Risking

Module 11: Sector-Specific AML/KYC

  • Banking & NBFC Sector Nuances
  • Insurance Sector AML
  • Capital Markets & Securities (SEBI KYC, Mutual Funds, PMS)
  • Real Estate and DNFBPs
  • Payment Aggregators, Prepaid Instruments & Money Service Businesses
  • Casinos, Gaming & High-Value Dealers
  • The NGO/Non-Profit Sector

Module 12: Investigation, SAR/STR Filing & Forensic Techniques

  • Internal Investigation Process
  • Suspicious Transaction Report (STR)
  • CTR, CCR, and NPO Transaction Reports
  • Evidence Gathering & Chain-of-Custody Principles
  • Interviewing Techniques for Internal Investigations
  • Forensic Accounting Basics
  • Coordination with Law Enforcement, ED, and FIU-IND
  • Whistleblower Mechanisms & Tipping-Off Prohibitions

Module 13: Enterprise-Wide Risk Assessment & Governance

  • Enterprise-Wide AML/CFT Risk Assessment (EWRA)
  • Board and Senior Management Accountability
  • Principal Officer and Designated Director
  • AML Policy, Procedures, and Program Design
  • Independent Audit and Compliance Testing
  • Regulatory Examination Readiness
  • Culture of Compliance
  • Outsourcing & Third-Party/Vendor AML Risk Management

Module 14: KYC Lifecycle, Recordkeeping & Data Governance

  • Risk-Based Periodic KYC Updation
  • The 2025 RBI Amendments in Practice
  • Offboarding and Account Closure
  • Record Retention Standards
  • Data Quality, Deduplication, and Golden Record Management
  • The Data Privacy Intersection

Module 15: Emerging Risks & the Future of Financial Crime Compliance

  • AI-Driven Fraud & Deepfake-Enabled Social Engineering
  • Regtech and Suptech
  • Convergence of Fraud and AML Functions
  • Cyber-Enabled Financial Crime
  • Environmental Crime, Wildlife Trafficking & Emerging Predicate Offences
  • ESG and Financial Crime
  • Global Regulatory Outlook

Module 16: Career Readiness & Professional Practice

  • Career Pathways
  • Building an AML/KYC Professional Portfolio
  • Resume and LinkedIn Positioning for Compliance Roles
  • Interview Preparation
  • Report Writing and Regulator/Board Communication Skills

Module 17: Capstone Practicum

  • Case Study 1: Full Customer Risk Assessment and EDD Workflow
  • Case Study 2: Transaction Monitoring Alert Investigation → STR Drafting
  • Case Study 3: Designing an Enterprise-Wide Risk Assessment
  • Case Study 4: Cross-Border Crypto Transaction Exercise
  • Case Study 5: Mock Regulatory Examination



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