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.
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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.
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.
What's inside
Learning objectives
- Upon completion of this course, participants should be able to:
- 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
- Upon completion of this course, participants should be able to:
- 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
Good to know
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Activities
Review your knowledge of financial reporting
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Refreshing your knowledge of financial reporting will help you understand the financial implications of compliance.
Browse courses on
Financial Reporting
Show steps
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Re-read your notes from previous courses or textbooks on financial reporting.
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Review online resources such as articles, blog posts, and whitepapers on financial reporting.
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Take practice quizzes or tests on financial reporting.
Form a study group with other students in the course
Show steps
Forming a study group will allow you to discuss the course material with other students and learn from each other.
Browse courses on
Compliance
Show steps
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Identify other students in the course who are interested in forming a study group.
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Decide on a meeting time and location.
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Develop a study schedule.
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Meet regularly to discuss the course material.
Review regulatory compliance concepts
Show steps
Refreshing your understanding of regulatory compliance will improve your ability to understand the key concepts in this course.
Browse courses on
Regulatory Compliance
Show steps
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Re-read your notes from previous courses or textbooks on regulatory compliance.
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Review online resources such as articles, blog posts, and whitepapers on regulatory compliance.
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Take practice quizzes or tests on regulatory compliance.
Four other activities
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Show all seven activities
Read "Compliance: A Principled Approach"
Show steps
This book provides a comprehensive overview of the principles of compliance, which will help you understand the theoretical underpinnings of the course material.
View
Noise: A Flaw in Human Judgment
on Amazon
Show steps
-
Read each chapter carefully and take notes on the key points.
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Summarize the main arguments of each chapter in your own words.
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Identify the key takeaways from the book that are relevant to your work in compliance.
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Discuss the book with colleagues or classmates to gain different perspectives.
Create a compliance checklist
Show steps
Creating a compliance checklist will help you understand the specific requirements of compliance in your industry and organization.
Browse courses on
Compliance Management
Show steps
-
Identify the relevant laws and regulations that apply to your organization.
-
Develop a list of specific tasks that need to be completed to ensure compliance.
-
Assign responsibilities for completing each task.
-
Create a system for tracking the completion of tasks.
-
Review and update the checklist regularly to ensure that it remains current.
Complete the edX course on compliance
Show steps
This course will provide you with a comprehensive overview of the key concepts of compliance.
Browse courses on
Compliance
Show steps
-
Enroll in the edX course on compliance.
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Complete all of the course modules and assignments.
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Participate in the course discussion forums.
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Complete the course assessment.
Volunteer for a compliance organization
Show steps
Volunteering for a compliance organization will give you practical experience in the field and help you build your network.
Browse courses on
Compliance
Show steps
-
Identify a compliance organization that you are interested in volunteering for.
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Contact the organization and inquire about volunteer opportunities.
-
Complete the volunteer application process.
-
Attend volunteer training.
-
Perform volunteer duties as assigned.
Review your knowledge of financial reporting
Show steps
Refreshing your knowledge of financial reporting will help you understand the financial implications of compliance.
Browse courses on
Financial Reporting
Show steps
- Re-read your notes from previous courses or textbooks on financial reporting.
- Review online resources such as articles, blog posts, and whitepapers on financial reporting.
- Take practice quizzes or tests on financial reporting.
Form a study group with other students in the course
Show steps
Forming a study group will allow you to discuss the course material with other students and learn from each other.
Browse courses on
Compliance
Show steps
- Identify other students in the course who are interested in forming a study group.
- Decide on a meeting time and location.
- Develop a study schedule.
- Meet regularly to discuss the course material.
Review regulatory compliance concepts
Show steps
Refreshing your understanding of regulatory compliance will improve your ability to understand the key concepts in this course.
Browse courses on
Regulatory Compliance
Show steps
- Re-read your notes from previous courses or textbooks on regulatory compliance.
- Review online resources such as articles, blog posts, and whitepapers on regulatory compliance.
- Take practice quizzes or tests on regulatory compliance.
Read "Compliance: A Principled Approach"
Show steps
This book provides a comprehensive overview of the principles of compliance, which will help you understand the theoretical underpinnings of the course material.
View
Noise: A Flaw in Human Judgment
on Amazon
Show steps
- Read each chapter carefully and take notes on the key points.
- Summarize the main arguments of each chapter in your own words.
- Identify the key takeaways from the book that are relevant to your work in compliance.
- Discuss the book with colleagues or classmates to gain different perspectives.
Create a compliance checklist
Show steps
Creating a compliance checklist will help you understand the specific requirements of compliance in your industry and organization.
Browse courses on
Compliance Management
Show steps
- Identify the relevant laws and regulations that apply to your organization.
- Develop a list of specific tasks that need to be completed to ensure compliance.
- Assign responsibilities for completing each task.
- Create a system for tracking the completion of tasks.
- Review and update the checklist regularly to ensure that it remains current.
Complete the edX course on compliance
Show steps
This course will provide you with a comprehensive overview of the key concepts of compliance.
Browse courses on
Compliance
Show steps
- Enroll in the edX course on compliance.
- Complete all of the course modules and assignments.
- Participate in the course discussion forums.
- Complete the course assessment.
Volunteer for a compliance organization
Show steps
Volunteering for a compliance organization will give you practical experience in the field and help you build your network.
Browse courses on
Compliance
Show steps
- Identify a compliance organization that you are interested in volunteering for.
- Contact the organization and inquire about volunteer opportunities.
- Complete the volunteer application process.
- Attend volunteer training.
- Perform volunteer duties as assigned.
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