Training Objectives

By the end of the course, participants will be able to:

• Understand the fundamentals of prompt engineering across multiple AI platforms
• Identify strengths and limitations of ChatGPT, Claude, Gemini, and other tools
• Write structured prompts for SARs, fraud investigations, and regulatory research
• Avoid common prompt pitfalls that lead to biased or non-compliant outputs
• Refine AI responses to meet audit and exam standards
• Apply AI tools to streamline due diligence and policy review
• Implement guardrails for ethical and compliant AI use
• Evaluate AI-generated content for accuracy and regulatory fit
• Compare AI tools based on transparency, explainability, and risk exposure
• Build workflows that integrate AI without replacing human oversight

Training Outline

Introduction to AI in Compliance

• Definition of AI tools and prompt engineering
• Purpose and scope of AI in regulated industries
• Warm-up exercise: AI-generated vs human-written SAR excerpts

Prompt Engineering Fundamentals

• Structure and clarity for effective prompts
• Contextual framing for compliance tasks
• Hands-on: Writing prompts for fraud detection

Tool Comparison: ChatGPT, Claude, Gemini & More

• Capabilities and limitations of each tool
• Use cases in compliance workflows
• Demo: Same prompt across different tools

Common Mistakes & Risky Prompts

• Vague, biased, or misleading inputs
• Regulatory red flags in AI outputs
• Group exercise: Spot the compliance risk

Iteration Strategies for Better Outputs

• Refining SAR narratives and due diligence summaries
• Prompt chaining and feedback loops
• Live walkthrough: Improving a weak AI response

Guardrails & Governance

• Ethical use of AI in financial services
• Documentation, audit trails, and human review
• Policy templates for safe AI integration

Case Studies & Simulations

Real-world examples of AI in compliance

Simulation: AI-assisted regulatory exam prep

Wrap-up discussion: What’s next for AI in compliance?

Who Should Attend

• Compliance officers and managers
• BSA/AML professionals
• Fraud investigators
• Fintech and crypto risk leads
• Partner bank operations teams
• Regulatory exam prep coaches
• Internal audit and governance professionals
• Legal and policy analysts in financial service

Training Style

This programme blends short lectures with interactive exercises, tool demos, and real-life case studies. Participants will practice prompt writing, compare AI outputs, and analyse compliance risks.

The session emphasises hands-on learning, peer discussion, and practical takeaways that can be immediately applied in the workplace.

CPD Recognition

This programme may be approved for up to 3 CPD units in Personal & Professional Development. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.

In-house Training

For groups within the same organisation, this course may be customized to meet any specific needs and delivered in-house.