Certified AI Compliance Officer for Banking (CAICOB) Certification Program by Tonex
The Certified AI Compliance Officer for Banking (CAICOB) Certification Program by Tonex equips professionals to govern, audit, and enforce compliance of AI technologies in regulated financial environments. Participants learn how to navigate complex laws, mitigate risks of AI-driven solutions, and prepare their organizations for regulator scrutiny. The program addresses explainability, audit readiness, and documentation to meet requirements from U.S. and EU regulators.
Special attention is given to AI’s impact on AML/KYC, creditworthiness, and privacy in banking operations. Cybersecurity concerns like data leakage, model misrepresentation, and secure audit trails are deeply integrated into the curriculum. This certification empowers professionals to uphold trust, integrity, and accountability in AI-enabled banking, ensuring secure and compliant operations.
Learning Objectives:
- Understand global AI regulatory frameworks in financial sectors
- Identify risks and controls for AI-driven AML/KYC processes
- Conduct explainability and auditing in credit and lending models
- Recognize compliance issues in deploying LLMs within banks
- Document AI models effectively for regulatory readiness
- Map AI controls to applicable financial regulations
- Prepare banks for regulator audits and investigations
Target Audience:
- Bank compliance officers
- Legal advisors
- Regulatory technology leaders
- Cybersecurity professionals
- AI governance specialists
- Internal auditors in banking
Program Modules:
Module 1: AI Law Landscape in Finance
- Overview of U.S. SEC, FTC, CFPB rules
- EU EBA, ESMA, ECB regulations
- Cross-border compliance challenges
- Emerging AI-specific financial laws
- Case studies on regulatory penalties
- Building a compliance roadmap
Module 2: AML/KYC Compliance Automation with AI
- Automating KYC/AML with AI tools
- Risks of bias and unfair decisions
- Controls for automated transaction monitoring
- Cybersecurity in AML data pipelines
- Ensuring transparency in screening
- Meeting suspicious activity reporting obligations
Module 3: Explainability & Auditing in Credit & Lending
- Interpretable AI in consumer lending
- Audit requirements for automated decisions
- Handling adverse action notices
- Ensuring fairness in credit scoring
- Logging and explaining loan decisions
- Avoiding regulatory missteps
Module 4: LLMs in Banking: Regulatory Watch Points
- Risks of data leakage in LLMs
- Mitigating hallucination and misrepresentation
- Reviewing output for compliance breaches
- Privacy considerations with customer data
- Monitoring LLM-powered chatbots
- Preparing disclosures for LLM use
Module 5: AI Documentation: Model Cards, Decision Records, Audit Logs
- Crafting comprehensive model cards
- Maintaining decision records
- Building audit-ready documentation
- Logging model changes and versions
- Storing and securing audit logs
- Aligning documentation with regulatory demands
Module 6: Mapping AI Controls to Financial Regulations
- Linking AI controls to GDPR, GLBA, and PCI DSS
- Creating a controls matrix
- Testing and validating controls
- Ensuring cybersecurity resilience of AI systems
- Mapping to operational risk frameworks
- Reporting compliance to stakeholders
Exam Domains:
- Foundations of AI Governance in Financial Services
- Risk Assessment and Control Strategies for AI Systems
- AI Explainability and Transparency Practices
- Privacy, Data Protection, and Cybersecurity in AI
- Regulatory Response and Enforcement Readiness
- Continuous Monitoring and Compliance Evolution
Course Delivery:
The course is delivered through a combination of lectures, interactive discussions, and case-based learning, facilitated by experts in AI compliance and financial regulation. Participants have access to online resources, including readings, regulatory guides, and tools for practical application.
Assessment and Certification:
Participants are assessed through quizzes, assignments, and a final capstone project. Upon successful completion, they will receive the Certified AI Compliance Officer for Banking (CAICOB) certificate.
Question Types:
- Multiple Choice Questions (MCQs)
- Scenario-based Questions
Passing Criteria:
To pass the Certified AI Compliance Officer for Banking (CAICOB) Certification Training exam, candidates must achieve a score of 70% or higher.
Take charge of compliance in the age of AI. Enroll in CAICOB and ensure your organization stays secure, ethical, and ahead of regulatory expectations. Join now to certify your expertise.