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The Risk and Compliance Manager course is a comprehensive training course designed to provide a practical understanding of the fundamental areas of compliance assurance. It explores the key concepts of ethics and compliance in business, from governance to auditing, with step-by-step guidance. Whether you are looking to build your expertise or are interested in establishing a career in this field, this course will provide you with the skills you need to do so.

To start with, you will gain an in-depth understanding of the role and responsibilities of the compliance department, building your knowledge of the relationship between ethics and compliance in business. The course covers the basic concepts to the fundamentals, where you will learn about compliance systems, the compliance auditing process, and much more.

Not only will you discover how the compliance department protects organisations from financial risk, but you will have the ability to provide advice to businesses to help them make better decisions, as well as ensure that policies are being correctly adhered to. Fast track your career today and earn an industry-recognised qualification.

• Accredited by CPD
• Instant e-certificate and hard copy dispatch by next working day
• Fully online, interactive course with audio voiceover
• Developed by qualified professionals in the field

• Self-paced learning and laptop, tablet, smartphone-friendly
• 24/7 Learning Assistance
• Discounts on bulk purchases

Sneak Peek

Who should take the course

• Risk and Compliance Manager
• Risk and Compliance Officer
• Head of Compliance Assurance
• Compliance Consultant

Certification

Once you’ve successfully completed your Risk and Compliance Manager course, you will immediately be sent a digital certificate. Also, you can have your printed certificate delivered by post (shipping cost £3.99). All of our courses are fully accredited, providing you with up-to-date skills and knowledge and helping you to become more competent and effective in your chosen field. Our certifications have no expiry dates, although we do recommend that you renew them every 12 months.

Learning Outcomes

By the end of the course, learners will be able to:

• Demonstrate knowledge of the role and responsibilities of the compliance department
• Explain the five basic elements of compliance and the compliance management system
• Put together an effective compliance program and provide compliance training
• Describe the different steps in the compliance audit process
• Understand the responsibilities of ethics and compliance practitioners
• Identify the different types of financial risk and the classifications of risk
• Implement an effective risk management strategy and policy in the workplace
• Protect organisations by detecting, evaluating, monitoring and reviewing risk

Assessment

At the end of the course, there will be an online assessment, which you will need to pass to complete the course. Answers are marked instantly and automatically, allowing you to know straight away whether you have passed. If you haven’t, there’s no limit on the number of times you can take the final exam. All this is included in the one-time fee you paid for the course itself.

Accreditation

All of our courses are fully accredited. The content of the Risk and Compliance Manager course is certified by the CPD Certification Service as conforming to the continuous professional development principles. This course provides you with up-to-date skills and knowledge and helps you to become more competent and effective in your chosen field.

Course Curriculum

The detailed curriculum outline of our Risk and Compliance Manager course is as follows:

Module 1: Introduction to Compliance

• What Is Compliance? 
• Definition of GRC. 
• Benefits of Compliance 
• Compliance Department  
• Responsibility of The Compliance Department 
• Compliance As A Challenge
• Summary / Keynotes Of The Module
• Assessment

Module 2: Five basic elements of compliance

• Five Basic Elements of Compliance
• Compliance House 
  • Policy And Code of Conduct 
  • The Structure of The Compliance Organization
  • Compliance Processes
  • Incentives and Sanctions
  • Auditing and Development
• Summary / Keynotes of the Module
• Assessment 

Module 3: Compliance Management System (CMS)

• Introduction to Compliance Management System 
• Elements of CMS 
  • Board and Management Oversight 
    • Key actions of Board and management
    • Compliance Committee
    • Compliance Officer
    • The roles and responsibilities of a Compliance Officer/Auditor
  •  Compliance Program 
    • Policies and procedures 
    • Training 
    • Monitoring and/or Audit 
    • Consumer complaint response
• Why is a CMS Important?
• Summary / Keynotes of the Module
• Assessment 

Module 4: Compliance Audit

• What is ISSAI? 
• Definition of An Audit 
• Compliance Audit in a Public Sector Context
• Elements of Compliance Audit
• Principles of Compliance Auditing 
  • Quality Control
  • Audit team management and skills
  • Audit Risk
  • Materiality
  • Documentation
  • Communication
• Compliance Audit Process 
• What Auditors Look for in Different Audits 
  • Financial Audit
  • Performance audit
  • Compliance audit
• Summary / Keynotes of the Module
• Assessment

Module 5: Compliance and Ethics

• Ethics And Compliance: Conceptual Differences 
• The Golden Rule 
• Values And Rules 
• Ethics and Compliance: Different Sides of the Same Coin? 
• Responsibilities of Ethics And Compliance Practitioners 
• Shared Challenges 
• Summary / Keynotes of the Module
• Assessment

Module 6: Risk and Types of Risk

• What Is Risk? 
• Nature of Risk 
• Classification of Risk 
• Types of Pure Risk 
• Financial Risk 
• Different Types Of Financial Risk 
• Summary / Keynotes of the Module
• Assessment

Module 7- Introduction to Risk Management

• What is Risk Management? 
• History of Risk Management and its Concepts +++
• Objectives of Risk Management 
• Risk Management Standards 
• Principles of Risk Management 
• Risk Management Strategy 
• Risk Management Policy 
• Summary / Keynotes of the Module
• Assessment

Module 8: Risk Management Process

• Identify The Risk
• Analyse The Risk

• Risk Evaluation
• Treat The Risk
• Monitor And Review The Risk
• Summary / Keynotes Of The Module
• Assessment

Module 9: Time Management

• Introduction to Time Management

• Aspects of Time Management

o Effective Planning

o Setting Goals and Objectives

o Setting Deadlines

o Delegation of Responsibilities

o Spending the Right Amount of time on an Activity

• Prioritising the Workload

o Activity List

o Action Plans

o To-do Lists

o Computerised Follow-up Systems

o Scheduling

 o The Prioritisation Matrix

• Overcoming Procrastination

• Managing Deadlines  

• Effective Time Management at the Workplace

• The Pareto Principle and Tips for Time Management

• Multitasking
• Summary

• Assessment

Module 10:Organisational Skills

• Organising Daily Work
• Organising Workplace
• Organising Resources
• Organising Tools
• Cultivating Organisational Habits
• Summary
• Assessment

Module 11: Communication Skills

• Effective Listening Skills

• Verbal Communication

o Written Communication

o Oral Communication

• Non-Verbal Communication

• Communication Strategies
• Summary
• Assessment