What does the training cover?
Peak Compliance trains staff at every level of management. The content reflects the duties that arise in the day-to-day work of a financial institution:
- Anti-money laundering: AMLA due diligence, identifying the contracting party and the beneficial owner, higher risks, duties to clarify and report
- Sanctions: working with sanctions lists and embargo measures in daily business
- FinSA rules of conduct: information, documentation and due diligence duties towards clients
- Cross-border and data protection: principles for serving foreign clients and handling personal data
- Current developments: new legislation, FINMA guidance and supervisory practice
Peak Compliance also develops training concepts that set out audiences, topics and frequency.
On site or e-learning?
| On site | E-learning | |
|---|---|---|
| Strength | Discussion of real cases from your institution, direct questions to the expert | Independent of time and place, fits flexibly into the working day |
| Best for | Teams at one location, executive management and the board | Distributed teams, new joiners, recurring refreshers |
| Evidence | Attendance list and materials | Digitally recorded participation |
Both formats can be combined, for example e-learning as the foundation and an in-depth session on site.
Which focus suits which audience?
| Audience | Focus |
|---|---|
| Client advisers | Identification, beneficial ownership, background checks, sanctions screening in daily business |
| Compliance, back office and administration | Monitoring of business relationships and transactions, documentation, reporting |
| Executive management and board | Responsibilities of governing bodies, money laundering risk analysis, reporting and oversight |
Building blocks of a training concept
A training concept sets out how training is spread across the year. Peak Compliance assembles it from these building blocks:
- Induction for new staff: basics of anti-money laundering and internal policies when joining.
- Periodic refresher: regular training for all staff, with current case studies.
- Training on new rules: targeted briefings as soon as legislation, ordinances or FINMA practice change.
- Training for governing bodies: a compact session for executive management and the board on responsibilities and reporting.
- Documentation: attendance lists, materials and knowledge checks as evidence.
What does regular training deliver?
- Confidence in daily work: staff recognise higher risks and know which clarifications follow.
- Evidence for supervisor and audit firm: training is documented and traceable.
- Up-to-date knowledge: new requirements from legislation and FINMA practice feed directly into the sessions.
- Consistent standards: all staff work to the same policies and processes.
How does a training engagement work?
- 1Assess needsPeak Compliance discusses audience, business model and priorities with you.
- 2Choose the formaton site, e-learning or a combination.
- 3Tailor the contentexamples and case studies reflect your client base and processes.
- 4Deliverpractical sessions led by experienced compliance professionals.
- ✓Documentattendance and content are recorded so that training is evidenced to the supervisor and the audit firm.
Legal basis
- Art. 8 AMLA: financial intermediaries take the organisational measures needed to prevent money laundering and terrorist financing, in particular adequate staff training and controls.
- Art. 21 FinIA: portfolio managers maintain effective internal control that ensures compliance with legal and internal rules; trained staff are its foundation.
English versions of Swiss federal law are provided for information only; the German, French and Italian texts are authoritative.
Scope
- Client adviser register: for registration, Peak Compliance offers a separate, standardised online training for the Swiss client adviser register with basic and refresher courses.
- Ongoing compliance function: institutions that wish to outsource the AML unit as a whole will find this under compliance outsourcing, where training is an integral part.
- SRO affiliation: for intermediaries joining an SRO, Peak Compliance also supports the application (SRO affiliation).
Why Peak Compliance
- Practical relevance: the content draws on Peak Compliance's ongoing outsourcing work for portfolio managers and financial intermediaries in Switzerland and Liechtenstein.
- Supervisory experience: mandates with portfolio managers supervised by FINMA and the FMA and cooperation with the supervisory organisations AOOS and OSFINcontrol.
- Proven e-learning: Peak Compliance already runs the online courses for the client adviser register.
- Insights on the FINMA guidance on AML risk analysis and the 2026 AMLA revision.
Plan your AML training with Peak Compliance: request a proposal via the contact page.
At a glance
| Who it is for | Staff, executive management and boards of portfolio managers, managers of collective assets, family offices and other financial intermediaries |
| What | Practical training in anti-money laundering and compliance; training concepts |
| How | In person on site or via e-learning |
| When | Once audience, content and date have been agreed |
| Pricing | Proposal based on scope, number of participants and format |
Frequently asked questions
Is AML training a legal requirement in Switzerland?
Yes. Art. 8 AMLA requires financial intermediaries to take organisational measures, in particular to ensure adequate staff training and controls. Regular, documented AML training is the most direct way to meet this duty. Peak Compliance structures content and attendance records so that they are clear to the supervisor and the audit firm.
Is the training delivered on site or online?
Both. Peak Compliance runs sessions in person at your premises or provides them as e-learning. The format depends on team size, locations and audience.
Which topics does the compliance training cover?
The core topics are anti-money laundering and due diligence, sanctions, FinSA rules of conduct, cross-border rules and data protection. Peak Compliance adapts the content to your business model and to current regulatory developments.
How does this differ from the client adviser register training?
The client adviser register training is a standardised online course on FinSA rules of conduct for registration, at a fixed price. AML and compliance training is designed for an institution's staff and is quoted according to scope.
Does Peak Compliance also design a training concept?
Yes. Peak Compliance develops comprehensive training concepts that define who is trained on which topics and when. Training thus becomes predictable over the year and is fully documented.
