Upon completion of this course, participants will be able to:

• Establish an effective regulatory risk and compliance program aligned with the business strategy.
• Identify and categorize the entire universe of applicable laws, regulations, and internal policies.
• Conduct a structured **Regulatory Risk Mapping** to business processes and control points.
• Design and implement preventative and detective compliance controls (e.g., segregation of duties).
• Master the process of tracking regulatory change and assessing its impact on the organization.
• Develop and lead effective compliance training and awareness programs.
• Establish a robust compliance monitoring, reporting, and non-compliance investigation process.
• Understand the role of the compliance function in promoting ethical **Conduct Risk** management.

• Compliance Officers and Regulatory Affairs Managers
• Legal Counsel and Corporate Governance Specialists
• Internal Audit and Enterprise Risk Management (ERM) Staff
• Senior Managers and Executives in regulated industries
• Business Process Owners responsible for adhering to specific laws

• Group Regulatory Universe Mapping and Prioritization Workshop
• Case Studies on Major Compliance Failures (e.g., FCPA, AML fines)
• Individual Exercise: Drafting a New Compliance Policy based on a Regulatory Change
• Role-Playing Non-Compliance Incident Investigation and Remediation Scenarios
• Discussions on the Ethics of Compliance and Culture of Integrity

Unit 1: The Compliance Framework and Governance

• Defining compliance risk, regulatory risk, and legal exposure.
• The essential components of an effective compliance program (DOJ Guidelines framework).
• Establishing the Compliance Committee, Code of Conduct, and internal policies.
• Understanding the global regulatory landscape (e.g., US, EU, APAC) and cross-jurisdictional challenges.
• The role of the Chief Compliance Officer (CCO) and its independence.

Unit 2: Regulatory Mapping and Risk Assessment

• Techniques for mapping the full universe of applicable regulations and internal requirements.
• Conducting a **Regulatory Risk Mapping** exercise to assess the likelihood and impact of non-compliance.
• Prioritizing compliance risks based on enforcement severity and business criticality.
• Managing specific high-risk areas: Anti-Money Laundering (AML), Anti-Bribery & Corruption (ABC), Sanctions.
• Liaison with legal teams to interpret ambiguous regulatory requirements.

Unit 3: Control Implementation and Monitoring

• Designing controls that embed compliance requirements directly into business processes.
• Implementing automated monitoring and reporting systems for key compliance metrics.
• Developing and delivering mandatory compliance training and awareness campaigns.
• Managing the **Whistleblower/Hotline** mechanism and non-retaliation policies.
• Conducting compliance testing and validation (compliance audits).

Unit 4: Regulatory Change Management

• Establishing a structured process for tracking emerging regulatory changes and updates.
• Conducting a formal **Regulatory Impact Assessment (RIA)** on new requirements.
• Developing and managing the implementation project plan for required system or process changes.
• Communication protocols for updating internal stakeholders on new compliance obligations.
• Managing the relationship and communication with key regulatory bodies.

Unit 5: Incident Management and Reporting

• Developing a protocol for the investigation and resolution of non-compliance incidents.
• Conducting root cause analysis for confirmed compliance failures.
• Protocols for voluntary disclosure, self-reporting, and remediation to regulatory authorities.
• Reporting compliance status, control weaknesses, and investigation results to the Board.
• Leveraging technology (RegTech) for continuous compliance monitoring and reporting.