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Compliance in Practice

Gain insights into the practical application of compliance by considering the need for a risk-based approach, managing stakeholder behaviour, prudential compliance and the importance of maintaining financial crime compliance.

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Gain insights into the practical application of compliance by considering the need for a risk-based approach, managing stakeholder behaviour, prudential compliance and the importance of maintaining financial crime compliance.

Created by the subject matter experts within the International Compliance Association this certificate program highlights the value in adopting a risk-based approach to compliance and the process of risk management. It introduces you to the core elements of conduct risk, the importance of maintaining prudential compliance and the different financial crime risks faced by firms. You will also look at data protection, the impact of a global pandemic on compliance and understand the environmental, social and governance risks that firms must manage.

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.

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What's inside

Learning objectives

  • Upon completion of this course, participants should be able to:
  • Outline the benefits of taking a risk-based approach to compliance
  • Understand the core elements of conduct risk
  • Appreciate the importance of prudential compliance
  • Recognise the need for financial crime compliance
  • Detail the importance of data protection
  • Understand why managing change effectively is essential
  • Explain what is meant by environmental, social and governance (esg) and consider the consequences for the compliance function
  • Describe the implications of a global pandemic on compliance

Traffic lights

Read about what's good
what should give you pause
and possible dealbreakers
Explores financial crime compliance, which is standard in financial and compliance careers
Taught by experts within the International Compliance Association, indicating likely relevance for industry
Examines environmental, social and governance (ESG) issues, which are highly relevant for modern businesses
Develops risk management skills, which are core skills for compliance professionals
Includes a mix of media, such as videos, readings, and discussions, for a comprehensive learning experience
Prerequisites are not explicitly stated, allowing for flexibility in a learner's journey

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Reviews summary

Practical compliance for early career professionals

According to students, 'Compliance in Practice' is a highly practical and valuable course, especially for early career professionals entering the compliance field. Learners consistently praise its well-structured content and clear explanations, which make complex topics digestible. The course is noted for its coverage of highly relevant, modern issues like ESG risks and the impact of a global pandemic, alongside core elements such as financial crime compliance and a risk-based approach. While some learners with prior experience found the content too high-level, the course generally provides a solid foundational understanding across a broad spectrum of compliance areas.
Offers a broad and clear understanding of core compliance.
"A solid foundation for compliance. The section on data protection was particularly useful."
"It covers a broad range of topics like ESG and financial crime with excellent clarity."
"Very informative for understanding the breadth of compliance."
Perfectly suited for those new to compliance.
"Excellent program for early career professionals."
"As someone just starting in compliance, I found it incredibly valuable."
"Absolutely essential for anyone new to compliance."
Provides highly relevant and applicable insights.
"This course provided a highly practical overview of compliance."
"I especially appreciated the modules on ESG risks and the impact of a global pandemic, as these are highly relevant topics today."
"I particularly liked how it emphasized the practical application of concepts."
Delivery could be more interactive for some learners.
"While the topics are important, I found some of the lectures quite dry."
"I prefer more engaging delivery methods."
"I think adding some interactive elements or more practical exercises would improve engagement."
May lack advanced depth for seasoned professionals.
"Good for beginners, but I found it a bit too high-level for my existing experience."
"I was hoping for more advanced insights into regulatory frameworks."
"Some areas could benefit from slightly more in-depth case studies."

Activities

Be better prepared before your course. Deepen your understanding during and after it. Supplement your coursework and achieve mastery of the topics covered in Compliance in Practice with these activities:
Review the basics of financial crime compliance
Review the basics of financial crime compliance to strengthen existing knowledge and refresh skills.
Show steps
  • Read articles and blog posts on financial crime compliance
  • Take online courses or webinars on financial crime compliance
  • Attend industry conferences and workshops on financial crime compliance
Read 'Compliance Risk Management' by Michael Rasmussen
Read 'Compliance Risk Management' to gain insights from industry experts and strengthen understanding of compliance concepts.
Show steps
  • Acquire a copy of 'Compliance Risk Management'
  • Read the book and take notes
  • Apply the concepts to real-world scenarios
Follow tutorials on risk management in compliance
Follow tutorials on risk management in compliance to develop a deeper understanding of the concepts.
Browse courses on Risk Management
Show steps
  • Find tutorials on risk management in compliance
  • Follow the steps outlined in the tutorials
  • Practice applying the concepts to real-world scenarios
Five other activities
Expand to see all activities and additional details
Show all eight activities
Join a study group focusing on compliance
Join a study group focusing on compliance to engage with other learners and reinforce understanding.
Browse courses on Compliance
Show steps
  • Find a study group focused on compliance
  • Participate in discussions and share insights
  • Work together on practice problems and case studies
Create a presentation on the importance of prudential compliance
Create a presentation on the importance of prudential compliance to enhance understanding and communication skills.
Show steps
  • Research the topic of prudential compliance
  • Organize your thoughts and create an outline
  • Develop slides and visuals
  • Practice presenting
Practice applying the principles of data protection in compliance
Practice applying the principles of data protection in compliance to enhance practical skills and knowledge.
Browse courses on Data Protection
Show steps
  • Identify scenarios involving data protection in compliance
  • Analyze the scenarios and apply the relevant principles
  • Develop solutions and recommendations
Attend a workshop on environmental, social, and governance (ESG) risks
Attend a workshop on environmental, social, and governance (ESG) risks to stay updated on emerging trends and best practices.
Browse courses on Sustainability
Show steps
  • Identify relevant ESG risks workshops
  • Register and attend the workshop
  • Participate actively in discussions
  • Follow up on key takeaways
Contribute to open-source compliance projects
Contribute to open-source compliance projects to gain practical experience and demonstrate expertise.
Show steps
  • Identify open-source compliance projects
  • Review the project documentation
  • Contribute code or documentation to the project

Career center

Learners who complete Compliance in Practice will develop knowledge and skills that may be useful to these careers:

Reading list

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Course image
Effort
1 to 2 hours per week for 4 weeks
Level
Introductory
Via
edX
Institution
International Compliance Association
Language
English
Transcript
English
Traffic lights
Read about what's good
what should give you pause
and possible dealbreakers
Explores financial crime compliance, which is standard in financial and compliance careers
Taught by experts within the International Compliance Association, indicating likely relevance for industry
Examines environmental, social and governance (ESG) issues, which are highly relevant for modern businesses
Develops risk management skills, which are core skills for compliance professionals
Includes a mix of media, such as videos, readings, and discussions, for a comprehensive learning experience
Prerequisites are not explicitly stated, allowing for flexibility in a learner's journey
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