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An Interactive 5-Day Training Course

Certificate in Compliance Regulatory Professionals

Develop confident regulatory judgment and enterprise-wide compliance control.

The Certificate in Compliance Regulatory Professionals training course builds practical capability to interpret regulatory requirements, manage compliance risk, and support effective governance within regulated business environments.

Core Competencies:

Regulatory Oversight
Compliance Risk
Control Frameworks
Ethical Governance

Course Schedule

06 - 10 Apr 2026

London

| $5950

08 - 12 Jun 2026

Dubai

| $5950

17 - 21 Aug 2026

London

| $5950

12 - 16 Oct 2026

Dubai

| $5950

16 - 20 Nov 2026

Barcelona

| $5950

21 - 25 Dec 2026

London

| $5950

08 - 12 Jun 2026

Online

| $3950

21 - 25 Dec 2026

Online

| $3950

On this Page

Introduction Key Learning Outcomes Training Methodology Who Should Attend? Outline

Introduction

Regulatory compliance is a critical pillar of organisational credibility, stability, and long-term performance. As regulatory expectations continue to expand across industries, organisations must ensure that compliance functions are proactive, well-structured, and aligned with governance and risk management frameworks. Failure to manage compliance obligations effectively exposes organisations to regulatory sanctions, reputational damage, and operational disruption.

The Certificate in Compliance Regulatory Professionals training course provides a comprehensive understanding of regulatory environments, compliance responsibilities, and risk-based compliance practices. Participants gain insight into how regulatory requirements influence business activities, products, and transactions, while learning how to design and maintain effective compliance systems. The course emphasises building constructive relationships with regulators, supporting board oversight, and embedding a strong compliance culture that aligns with corporate governance and enterprise risk management expectations.

Key focus areas include:

Regulatory environments and supervisory expectations
Compliance roles, responsibilities, and accountability
Risk-based compliance frameworks and controls
Compliance culture and ethical conduct

Key Learning Outcomes

At the end of this Certificate in Compliance Regulatory Professionals training course, participants will be able to:

Analyse regulatory objectives and supervisory expectations across jurisdictions
Evaluate compliance responsibilities within governance and risk frameworks
Apply core compliance principles to manage regulatory obligations effectively
Identify and assess compliance risks and consequences of non-compliance
Develop and maintain structured compliance frameworks and documentation
Strengthen compliance culture and protect organisational reputation

Training Methodology

This Certificate in Compliance Regulatory Professionals training course applies a practical and applied learning approach focused on real regulatory and compliance challenges. Participants work with case-based scenarios, regulatory examples, and structured discussions to translate compliance requirements into effective organisational controls. The emphasis is on practical judgement, regulatory interpretation, and real-world application aligned with professional standards.

Who Should Attend?

This Certificate in Compliance Regulatory Professionals training course is ideal for:

Compliance and regulatory professionals
Risk management and control specialists
Internal audit and assurance professionals
Legal and governance officers
Managers working in regulated environments
Professionals supporting board and senior management compliance oversight

Course Outline

Day 1

The Regulatory Environment and the Role of Regulators

An Overview of the Regulatory Environment
The Objectives of Financial Services Regulation
International Regulation
The Role of the Regulators
What do the Regulators expect?
Your Jurisdiction Environment
The Best Practice in Regulatory Obligation
ISO 19600: Compliance Management Systems

Day 2

The Compliance Functions

Compliance Structure
The Role of the Board of Directors, the Supervisors, the Internal and External Auditors
Responsibilities of the Compliance Officer
Key Compliance Activities and Processes
Compliance and Corporate Governance
Corporate Governance and Financial Crime Prevention
Compliance Training
Conflicts of Interest
Ongoing Compliance with Laws and Regulations

Day 3

Risk Management and Compliance Risk

Understanding a Risk Management Approach
Creating a Risk Management Approach
The Definition of Governance, Risk and Compliance
The Need for Internal Controls
Identify, Mitigate and Control Risks Effectively
Approaches to Risk Assessment
The Importance of Compliance Culture
Managing Key Relationships – external and internal

Day 4

Establishing an Effective Compliance Function

Factors to be Considered in Designing a Compliance System
Developing an Internal Compliance System
Implementing and Communicating Internal Compliance Arrangement
Compliance Manual
Establishing Policies and Procedures
Creating a Compliance Monitoring Program
The Need for Independence
Record Keeping ƒ Compliance Reports
Managing the Regulators and Change in Regulations

Day 5

Managing the Risk of Money Laundering and Financial Crimes

Understanding Money Laundering Offences
MLRO and Compliance Officer
The Risk-based Approach to Money Laundering / Terrorist Financing
Suspicious Activity Monitoring, Detection and Reporting
Preventing Fraud
Bribery and Corruption
Insider Trading
Market Abuse
Sanctions and their Role in the Global Economy

International Standards & Professional Alignment

Our training courses are aligned with internationally recognised professional standards and frameworks across leadership, strategy, finance, governance, risk, compliance, and audit. By integrating globally trusted models, we ensure learners develop practical, relevant, and industry-recognised capabilities.

Our trainings draw on leading international standards and professional frameworks, including ISO, ISACA, COSO, OECD, IIA, FATF, Basel, IFRS/ISSB, GRI, NIST, CPD, ILM and the OECD AI Principles. This alignment ensures consistency with global best practices across financial management, risk oversight, digital governance, sustainability, and strategic decision-making..

Designed in alignment with globally recognised professional bodies, our courses support continuous professional development, strengthen organisational capability, and provide clear pathways toward professional certifications valued worldwide.