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Business·12h

Compliance Operations

Turn policies into evidence-backed controls, cases and escalations.

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ControlsKYCAMLCase DocumentationOperational Risk

About this course

A practical, jurisdiction-neutral course on control design, KYC and AML workflows, transaction-monitoring cases, fraud escalation and audit-ready evidence.

Level: All levelsDuration: 12hVersion: 1.2.0 · Editorial draftIncludes a verified skill badge

Course syllabus

An editorial preview of the modules. Full lessons unlock inside Academy.

1

Module 1

From policy to control

Translate a policy requirement into a control with owner, evidence, frequency and exception handling.

Lessons included

  • Requirement
  • Control objective
  • Evidence
  • Exceptions

You will be able to

  • Define a control.
  • Name its evidence.
  • Set an exception path.

Preview

Requirement

Translate a policy requirement into a control with owner, evidence, frequency and exception handling.

2

Module 2

KYC and AML operations

Run evidence checks, document gaps and escalate risk decisions without inventing jurisdiction-specific thresholds.

Lessons included

  • Customer evidence
  • Beneficial ownership
  • Risk factors
  • Escalation

You will be able to

  • Use an evidence checklist.
  • Document a gap.
  • Escalate a risk decision.
3

Module 3

Monitoring cases

Review an alert, distinguish signal from noise and write a case narrative that another analyst can reproduce.

Lessons included

  • Alert inputs
  • Transaction timeline
  • Supporting evidence
  • Case decision

You will be able to

  • Triage an alert.
  • Build a timeline.
  • Write a case narrative.
4

Module 4

Fraud and operational risk

Connect fraud signals, process weaknesses and loss events to containment and corrective controls.

Lessons included

  • Fraud patterns
  • Control gaps
  • Containment
  • Corrective action

You will be able to

  • Recognize a fraud signal.
  • Contain exposure.
  • Propose a corrective control.
5

Module 5

Audit-ready evidence

Assemble a control test pack with scope, sample, evidence, exceptions and remediation owners.

Lessons included

  • Scope and sample
  • Evidence quality
  • Exception rating
  • Remediation

You will be able to

  • Prepare a test pack.
  • Classify exceptions.
  • Track remediation.

What you'll learn

  • Translate a policy requirement into an operational control.
  • Apply a KYC evidence and exception workflow.
  • Document a transaction-monitoring case clearly.
  • Escalate fraud and operational-risk signals.
  • Assemble evidence for control testing and audit.

Roles this course opens up

Typical job titles that ask for this skill.

Compliance Analyst
AML Analyst
Fraud Operations Analyst
Risk Operations Associate

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