Generative AI IN Compliance - Online Course
MASTER GENERATIVE AI FOR COMPLIANCE
Learn how Generative AI can save time, reduce errors, and help you stay ahead of changing regulations.
Enroll Immediately
6 Chapters &
15+ Modules
Learn at your own pace
Industry-recognised Certificate of Achievement
Programme Instructors
Huy Nguyen Trieu
Co-founder, CFTE
Ronnie Chung
Head of Responsible AI, Centrica
Instructors have led Finance and AI initiatives at:
A programme part of the AI in Finance Academy, training +20,000 professionals globally.
You can now have Intelligent Compliance processes with GenAI
The compliance landscape is changing fast, and keeping up with new regulations, large datasets, and operational risks can be overwhelming.
Generative AI is a powerful tool that can make work more efficient, define compliance boundaries and help your organisation stay compliant and ahead of regulations.
This course focuses a lot on case studies & is designed specifically for compliance professionals.
By the end, you’ll have the skills to make compliance faster, smarter, and more effective.
In this course, you will learn how Generative AI can be used to:
Automate tasks like creating regulatory reports
Detect risks before they become problems
Adapt quickly to changing global regulations
Build trust through ethical AI practices.
What you will learn
This course goes deep into how Generative AI can transform compliance. Each lesson is practical, focused, and directly applicable to your work. Here's a detailed look at what you will learn:
- In minutes, you’ll learn how to use Generative AI to create accurate, regulator-ready reports.
- Understand how to extract data from multiple systems and format it to meet specific regulatory standards.
- You’ll learn how to draft reports that require minimal manual adjustments, saving you significant hours of work.
- You’ll discover how AI can predict compliance risks using historical data and market conditions.
- Learn to simulate “what-if” scenarios to prepare for potential regulatory infractions or illicit activity.
- You’ll learn about using AI tools to strengthen internal controls and stay ahead of emerging risks.
- You’ll learn to stay updated on global regulatory changes with AI-powered monitoring tools.
- Learn to assess the impact of new laws on your organisation and update policies quickly.
- See how AI can reduce manual effort in tracking changes across multiple jurisdictions.
- Understand how Generative AI transcribes and analyses audio conversations for compliance breaches.
- Explore some case studies of how AI tools detect risky language, mis-selling, or market manipulation.
- Learn the best approaches to implement AI-powered audio monitoring systems to improve transparency & trust.
- Understand how to create dynamic, scenario-based compliance training tailored to different roles.
- Understand how AI can be used to generate real-world simulations that improve employee engagement.
- Learn how personalised training can boost test scores and ensure better compliance across teams.
- Learn the principles of Responsible AI to ensure fairness, ethics, transparency, and accountability.
- Explore frameworks like Explainable AI (XAI) to defend AI-driven decisions to regulators and auditors.
- See how ethical AI practices enhance stakeholder confidence and reduce reputational risks.
TThis is not a generic programme
Unlike generic training programs, this course is built specifically for compliance professionals, addressing the unique challenges of navigating regulations, managing risks, and maintaining ethical practices in a fast-evolving world.
Designed for Compliance Professionals
This course speaks your language. Whether it’s automating regulatory reporting, managing complex risks, or understanding evolving laws, every lesson is tailored to your role and responsibilities.
Practical and Actionable
No dry theory or generic AI talk. This course focuses on real-world applications, with case studies that show you exactly how Generative AI is used in compliance tasks.
Keep Up with Regulations
With global regulations changing rapidly, staying compliant is more challenging than ever. This course equips you with the strategies to monitor and adapt to regulatory updates efficiently.
Ethical and Transparent AI Practices
Learn how to implement Responsible AI principles that not only meet regulatory requirements but also build trust with stakeholders and customers.
Community and Support
Join like-minded AI & compliance professionals. Share insights, tackle challenges together, and build a network of peers who understand the unique demands of your field.
Learn from A visionary
Ronnie Chung – Head of Responsible AI
Ronnie Chung, has over 25 years of experience leading compliance initiatives at major institutions like HSBC and Barclays. Ronnie developed HSBC’s Responsible AI Framework and has trained over 10,000+ professionals on AI in compliance.
Generative AI from the lens of the industry
This programme will set the foundation right with introductory lessons in Generative Ai designed to prepare you for understanding its application in compliance
Your All-Access Pass to compliance
Dive into a world of learning with flexible video and reading courses. Plus, get the inside scoop from top compliance ai experts around the globe.
This programme offers practical compliance value
Focus on compliance-specific AI applications, not general AI knowledge.
Step-by-step guidance to integrate AI into your workflows.
Exclusive insights with real-world case studies & proven methods. This is as close to the industry as it gets.
Immediate, practical value you can apply from Day 1. Learn today, implement tomorrow.
Programme Curriculum
Get the Foundations of Generative AI right and go much deeper into compliance
Key Topics:
- Definition of Generative AI
- Differences between traditional Machine Learning and Generative AI
- Transformers: a revolutionary breakthrough
- Scaling transformers
- LLMs as a new human/machine interface
Key Topics:
- Model providers
- Infrastructure providers
- Application providers
- Hands-on project: Getting started with ChatGPT and Customer Personas
- Hands-on project: Analysing & extracting information from PDF Reports with AI
Key Topics:
- AI Governance Frameworks:
- Defining roles and responsibilities for developing, monitoring, and validating AI models.
- Establishing compliance committees to oversee AI usage and guide strategic decisions.
- Model Validation and Risk Assessments:
- Conducting thorough impact assessments to identify potential compliance gaps and biases.
- Using historical and synthetic data to stress-test AI models under different scenarios.
- Balancing Automation with Human Judgment:
- Implementing “human-in-the-loop” systems to escalate complex compliance cases to experienced professionals.
- Learning how to balance AI efficiencies with expert oversight for critical decision-making.
Key Topics:
- Explainable AI (XAI) and FEAT Principles:
- Learn how XAI techniques provide clear reasoning for AI outputs to regulators and internal stakeholders.
- Incorporate fairness, accountability, and transparency principles into AI workflows.
- Ethical and Regulatory Standards:
- Mapping AI practices against evolving compliance regulations such as GDPR, DORA, and the EU AI Act.
- Ongoing Monitoring and Auditing:
- Setting up continuous monitoring systems to track AI accuracy and detect operational issues.
- Performing periodic audits of AI models and data pipelines to ensure compliance alignment.
Key Topics:
- Audio Trade Surveillance:
- Explore how Generative AI transcribes and analyses trader communications to detect risky language and market manipulation.
- Use case studies to understand how AI flags compliance breaches in real-time.
- Detecting Misconduct in Financial Interactions:
- Discover how AI tools can identify mis-selling, non-compliant behavior, and fraudulent activity in customer interactions.
- Learn how Generative AI generates compliance scores and highlights risk patterns.
- Data Security and Access Controls:
- Implement strong data protection measures, including encryption and access restrictions, to safeguard sensitive information.
Key Topics:
- Regulatory Change Management:
- You’ll learn how AI tools scan global regulatory updates and provide actionable recommendations.
- Adapting organisational policies quickly to align with new legal requirements.
- Future-Proofing Compliance Strategies:
- Reviewing AI models to ensure they adapt to emerging regulations and new threats.
- Collaborating with industry forums and regulators to stay ahead of compliance trends.
Become AI Literacy Compliant with CFTE’s Generative AI Programmes
CFTE’s Generative AI Programmes can help you and your organisation to stay compliant with AI literacy requirements under the EU AI Act.
While no single course can guarantee full compliance, CFTE’s Generative AI Programmes constitute a solid foundation to increase AI literacy across organisations, by offering structured, expert-led learning that allows participants to develop a deeper understanding of regulatory expectations, responsible AI practices, and risk management in an evolving AI landscape.
Source: EU AI Act
Designed for professionls in regulated industries
This course is for compliance professionals and those working in regulated industries who want to stay ahead with AI-powered solutions & strategies. This course is perfect for:
Looking to automate processes, reduce errors, and improve efficiency.
Compliance Officers or Risk Managers
Wanting to apply ethical AI to tackle real-world challenges in compliance.
AI Enthusiasts in Regulated Industries
Seeking tools to monitor risks, stay updated on regulations, and lead with confidence.
Managers or Leaders in Compliance
Eager to understand how AI can enhance regulatory compliance and reduce costs.
Finance Professionals
Interested in learning how AI is transforming regulatory landscapes and compliance practices.
Policy Advisors or Legal Professionals
Who should not take this course?
This course is not for everyone. It may not benefit you if you are:
Not involved in compliance: If your work doesn’t involve compliance, risk management, or regulatory tasks, this course may not suit your needs.
Looking for Basic AI Knowledge: This course is specific to applying Generative AI in compliance, not an introduction to AI concepts.
Not Ready to Adapt: If you are hesitant about incorporating new technologies into your work, you may find this course less beneficial.
Hoping for Overnight Results: While the course is practical, mastering AI in compliance requires ongoing application beyond just the duration of the course.
Looking to gain only technical AI knowledge: We briefly touch on the technicalities of AI but the larger breadth of this course focuses on how AI can be leveraged in compliance.
Meet Your Instructors
Huy’s Unique Perspective
Huy has designed leading educational programmes in emerging technologies including in Generative AI, Blockchain and Payments, catered to empowering professionals in a world of finance.
Huy Nguyen Trieu
Your Guide to Thriving in Finance amidst an increasingly Tech Landscape
Co-founder and Programme Director, CFTE; Former Managing Director, Citi; Author of The AI-fication of Jobs
Huy Nguyen Trieu is the Co-Founder of CFTE and CEO of The Disruptive Group, an advisory firm in innovation and finance. He is also a Venture Partner at Mundi Ventures, a VC fund in Fintech and Insurtech. Recognised as one of the earliest to analyse Fintech’s transformative impact, Huy co-created the Oxford Fintech Programme and pioneering courses at Hong Kong University and Imperial College London, equipping hundreds of thousands of professionals with the tools to navigate a wold of tech-driven finance.
Passionate about upskilling, Huy co-founded CFTE to help people improve their skills in a tech-driven world. Previously, he was a Managing Director at Citi, and held roles at Royal Bank of Scotland and Société Générale. Huy also led Ukibi, a VC-funded startup in the US.
Ronnie Chung
Your Guide to Generative AI in Compliance
With over 25 years of experience in compliance, technology, and ethical AI, Ronnie Chung brings unparalleled expertise to this course. His career spans some of the most respected institutions in the financial and regulatory sectors, making him uniquely qualified to teach compliance professionals how to leverage Generative AI.
Why Learn from Ronnie?
- Built AI Frameworks for Global Banks: At HSBC, Ronnie established the Responsible AI Framework, introducing ethical AI principles, governance models, and tools that are now industry benchmarks.
- Trained Thousands in AI Literacy: Ronnie led AI literacy programs that reached over 10,000 professionals worldwide, empowering teams to use AI effectively and responsibly.
- Hands-On Experience with Regulators: He has engaged directly with leading regulators, including the UK’s FCA and Singapore’s Monetary Authority, shaping how AI is adopted in compliance.
- Diverse Leadership Roles: From PwC and Barclays to HSBC and Centrica, Ronnie has managed compliance teams, regulatory dialogues, and large-scale AI implementations.
Ronnie’s Unique Perspective
Ronnie has led AI literacy programs that reached over 10,000 professionals worldwide, empowering teams to use AI effectively and responsibly.
Programme Details
Start date
Enrol Immediately
Programme Tuition
£450
Programme Format
100% online, self-paced
Earn an industry-accredited certificate
Receive a Certificate in Generative AI for Compliance issued by CFTE. The certificate online can serve as a stepping stone to further advancement in your career. Don’t miss this opportunity to stand out in your field.
Invest in your future & be at the forefront of GenAI in Compliance
Pay in full
- 2 Chapters covering the Foundations of Generative AI
- 4 Chapters covering Generative AI specifically in Compliance
- 5+ real-world case studies on Generative AI in Compliance
- 5+ quizzes, extended materials and reading materials
- Lifetime access to our global community of 1500+ professionals
- Industry-recognised certificate for Generative AI in Compliance
- Industry expert interview recording
Pay in 3 Instalments
- 2 Chapters covering the Foundations of Generative AI
- 4 Chapters covering Generative AI specifically in Compliance
- 5+ real-world case studies on Generative AI in Compliance
- 5+ quizzes, extended materials and reading materials
- Lifetime access to our global community of 1500+ professionals
- Industry-recognised certificate for Generative AI in Compliance
- Industry expert interview recording
Get your employer to sponsor you
Did you know? Companies like JPMorgan Chase offer up to $7,500 in tuition sponsorship. Your employer might sponsor your learning too!
Mode of payment
We accept all major credit cards and debit cards. We also accept Klarna via Stripe
Get reimbursed by your employer
Speak to your manager about the course, and get a reimbursement. Use this template
Instalments available
You can choose to pay the full amount, or you can opt for a 3-part plan
Download the programme brochure
Get more information on the programme content, hands-on projects and industry experts.
FAQ
Most frequent questions and answers about our specialisation
No, this course is for anyone who wants to understand how Generative AI can (and cannot or should not!) be applied to compliance. It is relevant for professionals across financial institutions, supervisors, regulators, consultants, lawyers, entrepreneurs, and technologists. Whether you work in a large organisation, a regional institution, or a smaller firm in a regulated industry, the insights and techniques taught in this course are adaptable to your specific context.
No technical background is required. This course is tailored for compliance professionals, risk managers, and others in regulated industries who want to leverage Generative AI without needing deep programming knowledge. Concepts are explained clearly, and practical exercises are designed to be accessible.
This course focuses on practical, actionable solutions. You’ll learn how to automate regulatory reporting, monitor risks, and track regulatory changes using AI tools. Real-world case studies and hands-on exercises will prepare you to tackle common compliance challenges like managing large datasets, detecting risks, and responding to evolving regulations.
Absolutely. This course goes beyond basic AI concepts to focus specifically on compliance applications. You’ll gain in-depth knowledge of how to apply Generative AI to regulatory reporting, risk management, and other compliance processes, even if you already have a general understanding of AI.
Generative AI tools taught in this course include capabilities for monitoring regulatory updates in near real-time. You’ll learn how to adapt organisational policies quickly and effectively, ensuring compliance with the latest laws and guidelines.
Yes, a key focus of the course is using AI responsibly. You’ll learn about Explainable AI (XAI), fairness, ethics, transparency, and accountability principles to ensure your AI implementations align with both regulatory and ethical standards.
Accessing this course
Participants can immediately enrol to the course, costing £450.
- Mode of payment– We accept all major credit cards and debit cards.
- Instalments – You can choose to pay the full amount, or you can opt for a 2-part payment plan option. The 2-part payment option requires one payment upfront, followed by second and third during your course. Contact our team at learning@cfte.education for more information.
- Get reimbursed by your employer. Speak to your employer and get funded for your learning! Here’s how we can help.
You will have access to the course for 6 months, calculated from the day you purchase the course. This duration is set to ensure you can pace yourself for the best learning outcome. Though not a common request, you can talk to us if you need an extension of the access after the 6 months are up.
Yes, you will receive a digital certificate upon successful completion of the course. This certificate is digital so it can be shared at any time and embedded into your online professional profile.
If you decide within one week after enrolling in the course (or 5% of completion) that it’s not the right fit for you, we will issue a full refund.
Looking to upskill your organisation? Talk to us.
Interested in training your organisation or sponsoring the course? Contact our team and get more information on the programme.
