Compliance Management & Regulatory Frameworks
Overview
Regulations keep multiplying and the cost of non-compliance keeps rising. This course shows how to build an effective compliance function: mapping obligations, assessing compliance risk, designing policies and controls, training staff, monitoring and reporting to management and regulators.
Who should attend
Compliance officers, legal and risk staff, internal auditors, and managers in regulated organisations.
Training methodology
Interactive presentations, practical exercises, case studies, group discussions, role-plays where relevant, and a personal action plan that participants apply in their own work.
Objectives
By the end of this course, participants will be able to:
- Explain the role and structure of a compliance function
- Map regulatory obligations and assess compliance risk
- Design compliance policies, procedures and controls
- Run compliance training, monitoring and testing
- Report compliance and manage breaches
Course outline
Day 1The Compliance Function
- Purpose of compliance
- Compliance standards
- Independence and reporting lines
- Compliance charter
- Discussion
Day 2Obligations and Risk
- Regulatory mapping
- Compliance risk assessment
- Prioritisation
- Regulatory change management
- Mapping exercise
Day 3Policies and Controls
- Policy framework
- Procedures and controls
- Gifts, conflicts and conduct
- Third-party compliance
- Design workshop
Day 4Training and Monitoring
- Compliance training
- Monitoring plans
- Compliance testing
- Using data and technology
- Case study
Day 5Reporting and Breaches
- Reporting to board and regulators
- Breach management
- Remediation
- Compliance culture
- Action plan
