Auditing Banks and Financial Institutions (AGRC-033) Training Course

Auditing Banks and Financial Institutions

Banks and financial institutions face complex risks including credit, market, liquidity, operational, conduct and financial crime risk, all under intensive regulation…

5 daysClassroom or online

12Upcoming dates

7Cities

£2,750Fees from

Course overview

Why Attend

Banks and financial institutions face complex risks including credit, market, liquidity, operational, conduct and financial crime risk, all under intensive regulation. Auditors need specialist knowledge to provide meaningful assurance.

This LLMI course covers the banking business model and regulatory framework, auditing credit processes and provisions, treasury and market risk, liquidity, operational risk, AML and compliance, IT and cyber controls, and regulatory reporting. Participants develop audit approaches for key banking areas.

The course suits internal auditors and risk professionals in financial services.

Course Objectives

Understand banking risks and regulatory frameworks

Audit credit granting, monitoring and provisions

Audit treasury, market and liquidity risk

Audit operational risk and compliance functions

Audit financial crime controls

Review regulatory reporting and IT controls

Target Audience

Internal auditors in banks

Risk and compliance professionals

External auditors serving banks

Regulators and supervisors

Audit managers

Finance professionals in banking

Course Methodology

Banking risk presentations

Case studies

Audit programme workshops

Regulatory discussion

Group exercises

Course outline

1Day 1: Banking Risk Landscape

Banking business model
Regulatory framework
Key risk types
Supervisory expectations
Role of internal audit
Exercise: Bank audit universe

2Day 2: Credit Risk Audit

Credit granting
Monitoring
Problem loans
Expected credit loss
Collateral
Workshop: Credit file review

3Day 3: Treasury, Market and Liquidity

Trading and treasury
Market risk limits
Liquidity metrics
Funding
Valuation
Case study: Liquidity stress

4Day 4: Operational Risk and Compliance

Operational risk frameworks
Conduct risk
AML controls
Sanctions
Outsourcing
Exercise: AML audit programme

5Day 5: IT and Regulatory Reporting

Core banking systems
Cyber risk
Data quality
Regulatory reports
Findings
Capstone: Bank audit plan

Frequently asked questions

How long is the Auditing Banks and Financial Institutions course?

The course runs over 5 days of classroom training, usually Monday to Friday.

When is the next Auditing Banks and Financial Institutions course?

The next public date is 18 - 22 Jan 2027 in Amsterdam. There are 12 upcoming dates in total.

Where is this course held?

Upcoming sessions run in Amsterdam, London, Istanbul, Vienna, Barcelona, Paris, Frankfurt.

Can I take Auditing Banks and Financial Institutions online?

Yes. Every date can also be joined live online in a virtual classroom with the trainer, for £1,280 per participant. Choose "Live online" in the dates table when you register.

How much does the course cost?

Fees start from £2,750 per delegate, depending on the city. Fees include tuition and course materials.

Do participants receive a certificate?

Yes. Delegates who complete the course receive a London Leadership Management Innovation certificate of completion.

Can this course be delivered in-house for our team?

Yes. LLMI can tailor and deliver this course privately for your organisation at your premises or in one of our training cities.

Course information last updated 14 November 2026.

Auditing Banks and Financial Institutions

Course overview

Course outline

Dates and fees

Frequently asked questions

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