The term compliance depicts the capacity to act as per the request, set of standards or requests. They are part of the Governance, Risk and Compliance (GRC) system which make sure that risks are under check. This course starts with an introduction to corporate governance and Enterprise Risk Management (ERM) and goes into the details of risk responses available to management.

The course then tackles controls at board and senior management level and into the business and reporting cycles. It will also cover controls in the purchase and payment cycle, HR and payroll cycle, inventory and production cycle, long term assets life cycle and at last sales and collection cycle.

Why this course


    This course aims to equip participants with the understanding, requirements and working of compliance by using state-of-the-art tools and techniques.

    In addition, the course discusses, information systems control, administrative and safety controls, financial reporting controls, physical controls and at last external reporting controls. Of course, they are all listed as examples and participants are encouraged to share with management the proper measures and controls for the risks at hand.

What to expect

  • To gear compliance professionals for changing regulatory environment

  • To gain information regarding fundamentals of complianc

  • To identify the risks that an organization can face and provide suggestions

  • To identify and formulate the controls that assist an organization to protect itself from the risks

  • To identify the efficiency of controls and give report to management for exposure

  • To resolve the issues of compliance

  • To suggest rules and controls in the business

What is the course schedule?


Day 1 8.30 AM to 4.30 PM


  • Understanding the Regulatory Environment
  • Why do we need regulation?
  • Financial services regulation objectives
  • Overview to regulation
  • Regulatory timeline
  • Protection of investor/consumer

Day 2 8.30 AM to 4.30 PM


  • International Control & Regulation

  • The roles of the regulator

  • Different regulatory models around the world

  • Overview of recent international regulation

  • The influence of international bodies

Day 3 8.30 AM to 4.30 PM


  • Compliance in Practice

  • Structure of compliance

  • Compliance officer offer

  • Process and activities of compliance

  • Compliance requirements through internal controls

  • Compliance requirements for oversight boards

  • Examples of compliance requirements

  • Other considerations: fraud prevention and customer satisfaction

Day 4 8.30 AM to 4.30 PM


  • Managing the Risk of Proliferation Financing, Terrorist Financing and Money Laundering

  • How are the proceeds of crime laundered?

  • Money laundering objectives and weaknesses of services and products

  • Connection among the MLRO, MLPO and Compliance Officer

  • Internal reporting system designing

  • Money laundering/terrorist financing risk based approach

  • Terrorist financing

  • Money laundering and tax evasion

Day 5 8.30 AM to 4.30 PM


  • Financial controls

  • Controlling access to financial assets

  • Controls on financial reporting

  • Controls through budgets

  • Controls through management reporting

  • Implementing financial controls through policies and procedures

  • Who should attend?
  • Compliance representatives, workers that have been given or seek to be given compliance duties, workers with administration obligation regarding compliance workers and any individual who wishes to gain comprehension of essential administrative compliance standards and how organizations can consent to them.

  • Participants
  • The training is going to be highly interactive combination of lectures, group discussions, questionnaires, individual reflections, role plays, simulations and videos.

  • Training Style
  • The course will have a maximum of 12 people who will be selected based on the type of business they are in and their job role to ensure a thorough mix of industries, ideas and experience.

    Contact our training division