Introduction

Regulatory compliance has become a critical pillar of organisational governance, risk management, and reputational protection. Increasing regulatory complexity, heightened supervisory scrutiny, and evolving market practices require organisations to maintain robust compliance frameworks that support ethical conduct and sustainable performance. This Professional Certificate in Compliance Regulations training course addresses the practical requirements of establishing, managing, and sustaining effective compliance functions aligned with international standards and regulatory expectations.

The course provides a comprehensive understanding of compliance roles, regulatory obligations, and the integration of compliance within enterprise risk management and corporate governance. It focuses on building effective relationships with regulators and boards, implementing risk-based compliance monitoring, and embedding a strong compliance culture that protects organisations from regulatory breaches and compliance risk.

Key Learning Outcomes

At the end of this training course, participants will be able to:

Training Methodology

This training course applies a practical, scenario-based learning approach combining guided instruction, applied case analysis, and structured exercises. Participants work through real compliance and regulatory scenarios to strengthen judgement, governance awareness, and the effective application of compliance frameworks within organisational contexts.

Professional Certificate in Compliance Regulations

Who Should Attend?

This training course is ideal for professionals seeking to…

  • Compliance officers and compliance managers
  • Governance, risk, and compliance practitioners
  • Internal audit and assurance professionals
  • Legal, regulatory, and control specialists
  • Senior managers with compliance oversight responsibilities
  • Professionals preparing for increased compliance accountability

 

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.

Ready to Take the Next Step?

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Related Categories

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Enterprise Risk Management (ERM)
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FAQs

This training course focuses on building practical compliance capability aligned with regulatory requirements, governance expectations, and enterprise risk management. It supports the effective design and operation of compliance frameworks.  

The course explains how to identify, assess, and mitigate compliance risks using risk-based approaches. Participants learn how compliance integrates with internal controls and broader governance structures.  

Yes, the training course is designed for organisations subject to regulatory oversight. It is applicable across financial services, public sector, and other regulated environments.  

The training course addresses key compliance areas including financial crime prevention, regulatory reporting, and supervisory expectations. It supports effective management of compliance risk in these areas.  

Participants gain the ability to strengthen compliance governance, improve regulatory engagement, and protect organisational reputation through effective compliance management.  

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