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Regulatory Compliance - Building a Resilient Compliance Function
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Technical Focus Area:
About the Course
This course provides practical training in regulatory compliance, covering how effective compliance functions are structured and operated to manage evolving regulatory requirements. It is designed for compliance and finance professionals responsible for regulatory risk management.
Participants examine compliance program design, regulatory change management, and monitoring practices, building the practical skills needed to build a resilient, forward-looking compliance function. Case examples illustrate compliance program maturity across different organizations.
Learning Milestones
By the end of this course, participants will be able to:
- Design a resilient regulatory compliance function.
- Monitor and respond to regulatory change.
- Conduct compliance risk assessments.
- Develop compliance monitoring and testing programs.
- Support regulatory examination readiness.
- Communicate compliance performance to leadership.
- Benchmark compliance function maturity against industry practice.
Professional Audience
This course is ideal for compliance and finance professionals responsible for regulatory risk, including:
- Compliance officers and managers
- Risk management professionals
- Legal and regulatory affairs staff
- Internal auditors
- Finance professionals supporting compliance functions
Modular Syllabus
Compliance Function Fundamentals
- Compliance function scope and mandate
- Compliance versus risk and legal functions
- Compliance program governance
- Regulatory landscape mapping
- Compliance function maturity models
Course Dates & Prices
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