Regulation and the Role of Compliance

Discover the global influences on regulation and the crucial need to manage compliance, and add value to your career with an understanding of the role, relationships and skills needed of a compliance professional. Created by the subject matter experts within the International Compliance Association this certificate program teaches the importance of managing regulatory risk and ensuring compliance. It introduces you to the key activities of the compliance function and the significant role of the compliance professional. You’ll discover the key relationships and skills needed to be a competent compliance professional and understand how the organisations can respond to regulatory investigations. This course is suitable for professionals working in or aspiring to work in compliance, including internal and external audit staff, those working in risk functions and regulatory representatives. Given the level of this qualification, it would be best suited to individuals who are early in their compliance career. 3b

• acknowledge the important role that individuals, companies and the media play in the ensuing regulatory compliance
• comprehend why managing compliance and regulatory risk is so essential
• gain an insight into the role of the compliance function in a firm
• understand the role of the compliance professional, and the main activities undertaken
• recognise the key relationships which need to be developed by the compliance function and professional
• appreciate the most important skills that need to be developed to be a successful compliance professional
• understand the role of compliance when regulatory breaches take place