Generative AI for Compliance in Financial Services
Become the compliance professional your organisation can trust with AI
Learn how to use Generative AI to work more efficiently, respond to regulatory change and strengthen responsible oversight, while developing the capabilities increasingly expected from compliance professionals.
Start immediately
6 Chapters &
15+ Modules
100% online and self-paced
IBF-accredited programme with a Certificate of Achievement
Programme Instructors
Huy Nguyen Trieu
Co-founder, CFTE
Ronnie Chung
Head of Responsible AI, Centrica
Learn from experts who have led finance, compliance and AI initiatives at leading global institutions.
A programme part of the AI in Finance Academy, training +200,000 professionals globally.
Compliance is changing. Your role needs to change with it.
Compliance professionals are expected to interpret growing volumes of information, respond to regulatory developments and help their organisations adopt new technologies responsibly.
Generative AI is beginning to change how compliance research, reporting, monitoring and risk analysis are performed.
Understanding regulation remains essential, but it is no longer enough. Professionals increasingly need to understand what AI can do, where it can create risk and when human judgement must remain in control.
This course helps you develop that capability so you can contribute confidently to AI-related conversations, improve how you work and remain valuable as compliance roles evolve.
Built around real compliance applications Explore practical examples and industry case studies that show how Generative AI can support compliance work, as well as where validation, governance and human oversight remain essential.
In this course, you will learn how Generative AI can be used to:
Work more efficiently Use AI to support repetitive research, reporting and analysis.
Identify risks earlier Review information and emerging risk indicators more effectively.
Respond to regulatory change Monitor developments and assess their potential impact more efficiently.
Use AI responsibly Apply appropriate governance, validation and human oversight.
What you will learn
Develop practical AI capabilities that you can apply in your compliance role. Each area connects Generative AI to work that compliance professionals are already responsible for, helping you understand both the opportunities and the limitations.
Use Generative AI to organise information, summarise source materials and support initial report drafting.
Learn how to improve efficiency while retaining professional review, accountability and judgement.
Explore how AI can support the identification of patterns, risk indicators and potential control weaknesses.
Learn how to assess AI-generated analysis before using it to inform compliance decisions.
Use AI tools to support the monitoring, summarisation and comparison of regulatory developments.
Learn how to assess their potential impact on policies, processes and business activities.
Explore how Generative AI can support role-specific scenarios, exercises and compliance learning materials.
Learn how to improve relevance without compromising regulatory accuracy.
Understand how AI can transcribe and analyse conversations to identify potentially risky language, mis-selling or market misconduct.
Explore why escalation procedures and human review remain essential.
Understand fairness, transparency, explainability and accountability in the use of AI.
Learn how to challenge AI outputs and communicate decisions to managers, auditors and regulators.
WHY THIS COURSE IS DIFFERENT
This course is built around the responsibilities, pressures and decisions faced by professionals working in compliance and regulated financial services. It helps you understand not only what Generative AI can do, but how to evaluate and use it responsibly in a controlled environment.
Designed for Compliance Professionals
Learn through compliance, governance and financial-services examples rather than generic AI applications.
Built around real work
Explore practical cases connected to reporting, monitoring, risk and regulatory change.
Focused on responsible adoption
Understand where AI can assist and where validation and human judgement remain essential.
Helps you engage confidently
Develop the knowledge to contribute to discussions with managers, vendors and technology teams.
Learn with industry peers
Join professionals addressing similar AI, compliance and governance challenges.
Learn from an industry leader
Ronnie Chung – Head of Responsible AI
Ronnie Chung brings more than 25 years of experience across compliance, technology and Responsible AI.
His career includes work with major organisations such as HSBC, Barclays, PwC and Centrica. He has contributed to Responsible AI frameworks, regulatory engagement and AI literacy initiatives reaching thousands of professionals.
Through this course, Ronnie translates high-level AI principles into practical considerations for professionals responsible for compliance, risk and oversight.
Generative AI from the lens of the industry
Build the foundations needed to understand how Generative AI is being applied to compliance, governance and risk.
The course is designed for non-technical professionals who need to evaluate the technology, its applications and its limitations.
Flexible learning around your role
Learn through videos, readings, case studies and practical examples.
The self-paced format allows you to develop new capabilities alongside your existing professional responsibilities.
Build skills your manager and organisation can use
Bring informed ideas to your team Identify where AI could improve a compliance process and what controls would be required.
Ask better questions Challenge AI outputs, vendor claims and internal proposals with greater confidence.
Communicate across teams Engage more effectively with compliance, legal, risk, data and technology colleagues.
Apply your learning immediately Use the course frameworks to review your current responsibilities and workflows.
Programme Curriculum
Build a strong AI foundation, then apply it to 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.
Build the AI literacy your role increasingly requires
The EU AI Act requires organisations using AI systems to ensure that relevant employees have an appropriate level of AI literacy.
For compliance professionals, this means understanding how AI is used, recognising its limitations and risks, and applying effective human oversight.
This course supports that development through practical knowledge of Generative AI, Responsible AI, governance, accountability and the appropriate challenge of AI outputs.
No single course can guarantee organisational compliance. Requirements will depend on each organisation, employee role and AI system.
Source: EU AI Act
Designed for professionals in regulated industries
This course is for professionals who want to understand how Generative AI is changing compliance work and develop the confidence to engage with it responsibly.
Improve how you approach reporting, monitoring, analysis and risk oversight.
Compliance officers and risk managers
Understand the compliance expectations surrounding AI in regulated environments.
AI and technology professionals
Build the knowledge needed to oversee AI adoption and challenge proposals responsibly.
Compliance managers and leaders
Prepare for the growing impact of AI-enabled systems on processes, controls and responsibilities.
Finance and operations professionals
Connect developments in AI with governance, policy and organisational implementation.
Legal, policy and regulatory professionals
Who should not take this course?
This programme may not be right for you if:
Your role has no connection to compliance, risk, governance or regulated activities.
You are looking for an advanced coding or AI model-development programme.
You expect AI to replace accountable professional judgement.
You expect one course to guarantee regulatory compliance.
You are not prepared to apply the learning to your own role and working environment.
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
Certificate
IBF Accredited
Earn a certificate from an IBF-accredited programme
Complete the IBF-accredited Generative AI for Compliance programme and receive a digital Certificate of Achievement issued by CFTE.
You can add the certificate to your CV and professional profiles to demonstrate your knowledge of Generative AI, Responsible AI and compliance in financial services.
The IBF accreditation provides independent recognition that the programme meets established standards for professional learning in financial services.
Combined with your professional experience, the certificate can help demonstrate to employers that you are actively developing the capabilities needed as compliance work becomes increasingly influenced by AI.
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
- Digital Certificate of Achievement from an IBF-accredited programme
- 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
- Digital Certificate of Achievement from an IBF-accredited programme
- 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.
