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Introduction to Regulatory Compliance

Governance Risk and Compliance GRC

Do you know:

Why companies, organizations, businesses, and institutions are being penalized by regulators?

How important Regulatory Compliance is for companies, organizations, and institutions?

Read more

Do you know:

Why companies, organizations, businesses, and institutions are being penalized by regulators?

How important Regulatory Compliance is for companies, organizations, and institutions?

How do the Board of Directors, Management, Employees, and Compliance Team work together, to ensure Regulatory Compliance?

There are various laws,  regulations, standards, directives, etc. that are issued by regulators, for companies, businesses, and organizations, operating in different sectors and jurisdictions. Non-compliance results in significant penalties.   

What Will You Learn In This Course?

In this course, you will learn, how the regulators are focusing on a strong compliance culture to be implemented by companies, businesses, organizations, and institutions to avoid fines & penalties due to regulatory non-compliance.

You will learn different key concepts related to Compliance, Compliance Efforts, Regulators, Regulated Entities, Regulatory Compliance, Compliance Culture, Types of Compliance Culture, Governance Structure, Three Lines of Defense Model of Regulatory Compliance, Compliance Function, Different Regulated Sectors, Famous Laws, Acts and Regulations in the World, etc. We will also discuss some case studies and examples. 

You will also learn about the overview of different key Acts, Standards, Laws, and Regulations, which are applicable to different kinds of organizations, such as Financial Institutions, and other Organizations working in different sectors including Manufacturing, Service, Health, and Safety Sectors, etc.

You will learn about Regulatory Technology (Red-Tech), Its uses, and examples.

You will learn the overview of the regulatory requirements prescribed by important AML and KYC Regulations that are applicable in the United States and Europe (BSA and EU AMLD4) for financial institutions such as Digital banks, Cryptocurrency Exchanges, and Financial Technology (Fin Techs) institutions.

You will learn the overview of Artificial Intelligence (AI) Regulatory Requirements, Levels of Risks and Transparency Requirements to be complied with by the Generative AI (such as Chapt Gpt) Service Providers in the Europe EU. We will discuss the Unacceptable, HIgh Risk, and Limited Risks associated with the use of AI.

You will learn the overview of some famous Data Protection Laws and Acts of different countries including the United States, Canada, China, Singapore, Philippines, and Australia.

- Data protection Acts and Laws include the United States California Consumer Privacy Act (CCPA), China's Personal Information Protection Law (PIPL), Canada's Personal Information Protection and Electronic Document Act (PIPEDA), Australia's The Privacy Act, Singapore's Personal Data Protection Act (PDPA), Philippines Data Privacy Act (DPA)

Bonus Lecture - Interview Questions and Answers for the Job of Compliance Officer / Compliance Manager

Bonus Lecture - Job Description of Regulatory Compliance Officer

Other Benefits of attending this course:

- QUIZ is also part of this course to test your knowledge about regulatory compliance.

- Downloadable Study Material files are also added, for you.

- Lifetime access to the course

- Certificate of completion of the course for your jobs and CVs enhancement

- Additions/updations to this course in the future, will be free

Who is this course for:

  • Compliance professionals and students

  • Risk management professionals and students

  • Internal audit professionals and students

  • Internal controls professionals

  • ACCA, CPA, CAMS, CGA students

  • Any other person who wants to learn and understand Regulatory Compliance

Enroll now

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What's inside

Learning objectives

  • You will learn about the compliance, regulatory compliance and compliance efforts
  • You will learn about different laws and regulations which are applicable in different countries
  • Artificial intelligence regulatory and transparency requirements and levels of risks assigned to ai systems
  • You will learn about the core steps to be undertaken to ensure "regulatory compliance"
  • You will learn about the internal controls that support organizations to ensure compliance and achievement of overall objectives
  • You will learn about reg-tech, governance structure, compliance committee, three lines of defense model, roles of compliance function and internal audit
  • Overview of data protections laws and acts of different countries including united states, canada, china, singapore, australia, philippines
  • Case study is discussed, and quiz test is also added as part of this course to test your knowledge of regulatory compliance
  • Downloadable study material
  • Interview questions and answers for the position of compliance officer / compliance manager
  • Job description of regulatory compliance officer
  • Show more
  • Show less

Syllabus

Introduction
Course Contents and Topics
Importance of Regulatory Compliance Course
Course Instructor Introduction
Read more
Who Should Attend This Course
What is Compliance and Regulatory Compliance
What is Compliance and What are Compliance Efforts?
Why Is Compliance Important for any Organization?

In this lecture, you will learn about the Regulators in different countries and the entities or companies that are supervised by these regulators.

Different Countries and Regulators
What are different Laws Regulations Acts and Standards
What are different Laws, Regulations, Acts and Standards
Examples of Laws Regulations, Acts and Standards
Students will learn the overview of Data Protections Laws and Acts of different countries including United States, Canada, China, Singapore, Philippines, Australia

Overview of the United States California Consumer Privacy Act (CCPA), China's Personal Information Protection Law (PIPL), Canada's Personal Information Protection and Electronic Document Act (PIPEDA), Australia's The Privacy Act, Singapore's Personal Data Protection Act (PDPA), Philippines Data Privacy Act (DPA)

How To Ensure Regulatory Compliance in Companies, Institutions and Organizations
Case Study of Regulatory Compliance - Tech Company
Compliance Culture and Regulatory Compliance
What are 4 Types of Compliances?
Different key risks that are faced by organizations, negative outcomes or consequences and internal controls are discussed in this section.

In this lesson, you will learn about some very common risks that are faced by all types of organizations and companies. These are broader categories of risks, and there may be sub-risks or branches to these broader risks.

In this lecture, you will learn about some common compliance risks or possible breaches that financial institutions such as banks face and non-compliance in these areas lead to the imposition of significant fines by regulators. Further, institutions also face financial and reputational losses due to non-compliances in these compliance risk areas. So let's start.

In this lecture, you will learn about Regulatory Risks or Compliance Risks and the outcomes of these risks if they occur in a company or organization.

Consequences of Regulatory Non Compliances
Role and Importance of Internal Controls in Compliance
You will learn abut the Regulatory Technology (Reg-Tech), Its importance, uses, examples, and applications, to ensure Regulatory Compliances. Reg-Tech is a necessity of all organizations
What is Regulatory Technology (Reg-Tech)
Examples of Uses of Reg-Tech
Uses of Reg-Tech
In this section, you will learn about the important AML Regulations for FIs in the United States and European Union. We will discuss broader AML regulatory requirements in such regulations

In this lecture, you will learn about some of the most important AML regulations that are applicable in the United States and Europe for Financial Institutions. We will focus on the US and EU AML requirements for the Digital banks and FinTechs in this lecture.   

You will learn important AML Regulatory Requirements for Crypto Exchanges operating in Singapore, Europe and Australia. We will discuss broader compliance requirements for each jurisdiction.
AML Regulatory Requirements for Crypto Exchanges in Singapore Europe Australia
You will learn the overview of EU Artificial Intelligence (AI) regulations, levels of risks and transparency requirements for Generative AI service providers.

You will learn the overview of Artificial Intelligence (AI) regulatory requirements prescribed by EU authorities. In this lecture, we will discuss different levels of Risk Categorization for AI Systems and the transparency requirements to be complied with by Generative AI service providers.

What is the Governance structure in Regulatory Compliance, TLOD Model, the roles and responsibilities of Compliance Function and Internal Audit.

In a company or organization, the Governance structure is very important for any company or organization because Governance sets the overall tone and the corporate stretagy. In a company, Governance means the Board of Directors of the company, who set the compliance culture and provide oversight to the Management and employees, on regular basis.

TLOD model is crucial for an organization and institution, to ensure regulatory compliance. Let's discuss this very important model.

Roles of Compliance Management Committee in Institutions
Structure of Compliance Management Committee (CMC) in Financial Institutions

The Compliance Function or Compliance Department is established in a company or organization, to ensure that applicable laws and regulations are identified and complied with, by all the employees of the company. The compliance department is headed by the Chief Compliance Officer of the company. You will learn about the Compliance Function and its roles and responsibilities in this lecture.

Role of Internal Audit Being Third Line of Defense
Regulatory Compliance

Knowledge Test Quiz - Regulatory Compliance

You will learn about a typical Job Description (JD) of Compliance Officer / Manager position. Let's start
Job Description (JD) of a Regulatory Compliance Officer
You will learn how the Employer might ask questions for the Compliance Officer position and what may be the relevant answers of the Candidate. Let's start

You will learn about the potential Interview Questions that are asked by Employer, with model Answers, for the position of Compliance Officer or Compliance Manager.

Good to know

Know what's good
, what to watch for
, and possible dealbreakers
Explores the spectrum of risks and how to address them, which is standard in compliance training
Develops a comprehensive understanding of internal controls that will help learners navigate regulatory environments
Teaches the Three Lines of Defense model that is used by most financial institutions and in other industries, which is a core concept in compliance
Examines relevant laws and regulations in multiple jurisdictions including the U.S. and the EU
Provides resources and study materials to reinforce learning
Covers a broad range of compliance topics including AI regulation and data protection

Save this course

Save Introduction to Regulatory Compliance to your list so you can find it easily later:
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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 Introduction to Regulatory Compliance with these activities:
Review Basic Concepts
Understanding the basics will help you to participate better in discussions and follow the course material more easily.
Show steps
  • Revisit the chapter on Regulatory Compliance from your previous course or textbook.
  • Review the terms and definitions associated with Regulatory Compliance.
  • Read articles or blog posts about recent regulatory changes.
Watch Tutorials on Regulatory Compliance
Watching tutorials will help you to learn about Regulatory Compliance in a more interactive and engaging way.
Show steps
  • Search for tutorials on Regulatory Compliance on YouTube or other online platforms.
  • Watch the tutorials and take notes.
  • Complete the practice questions or exercises that are included with the tutorials.
Join a Study Group for Regulatory Compliance
Joining a study group will allow you to discuss Regulatory Compliance with other students and learn from their perspectives.
Show steps
  • Find or create a study group for Regulatory Compliance.
  • Meet with the study group regularly to discuss the course material, work on assignments, and prepare for exams.
  • Participate in group discussions and ask questions.
Three other activities
Expand to see all activities and additional details
Show all six activities
Complete the Quiz on Regulatory Compliance
Taking this quiz will help you to assess your current knowledge of Regulatory Compliance and identify areas where you need to improve.
Show steps
  • Access the quiz through the course platform.
  • Answer the questions to the best of your ability.
  • Review your results and identify areas where you need to improve.
Create a Study Guide
Creating a study guide will help you to organize the course material and identify the key concepts that you need to know.
Show steps
  • Review the course syllabus and identify the key topics.
  • Gather your notes, handouts, and other course materials.
  • Organize the materials into a logical order.
  • Create a summary of each key topic.
  • Test yourself on the key topics using practice questions or flashcards.
Volunteer with a Regulatory Compliance Organization
Volunteering with a Regulatory Compliance organization will give you hands-on experience and allow you to network with professionals in the field.
Show steps
  • Research different Regulatory Compliance organizations.
  • Contact the organizations and inquire about volunteering opportunities.
  • Attend volunteer training and orientation.
  • Participate in volunteer activities such as assisting with events, conducting research, or providing support to clients.

Career center

Learners who complete Introduction to Regulatory Compliance will develop knowledge and skills that may be useful to these careers:
Compliance Officer
Compliance Officers are responsible for ensuring that their organizations comply with all applicable laws and regulations. This course provides a comprehensive overview of regulatory compliance, including the different types of compliance, the risks associated with non-compliance, and the role of compliance in an organization. The course also covers the latest regulatory developments and trends, which is essential knowledge for Compliance Officers. By taking this course, you will gain the skills and knowledge you need to succeed in a career as a Compliance Officer.
See salaries and explore the career path for Compliance Officer
Regulatory Compliance Manager
Regulatory Compliance Managers are responsible for developing and implementing compliance programs, monitoring compliance with laws and regulations, and conducting internal audits. This course provides a comprehensive overview of regulatory compliance, including the different types of compliance, the risks associated with non-compliance, and the role of compliance in an organization. The course also covers the latest regulatory developments and trends, which is essential knowledge for Regulatory Compliance Managers.
See salaries and explore the career path for Regulatory Compliance Manager
Compliance Analyst
Compliance Analysts are responsible for monitoring compliance with laws and regulations, and conducting research on new and emerging compliance issues. This course provides a comprehensive overview of regulatory compliance, including the different types of compliance, the risks associated with non-compliance, and the role of compliance in an organization. The course also covers the latest regulatory developments and trends, which is essential knowledge for Compliance Analysts. By taking this course, you will gain the skills and knowledge you need to succeed in a career as a Compliance Analyst.
See salaries and explore the career path for Compliance Analyst
Internal Auditor
Internal Auditors are responsible for evaluating the effectiveness of an organization's internal controls and making recommendations for improvements. This course provides a comprehensive overview of regulatory compliance, including the different types of compliance, the risks associated with non-compliance, and the role of compliance in an organization. The course also covers the latest regulatory developments and trends, which is essential knowledge for Internal Auditors. By taking this course, you will gain the skills and knowledge you need to succeed in a career as an Internal Auditor.
See salaries and explore the career path for Internal Auditor
Risk Manager
Risk Managers are responsible for identifying and assessing risks, and developing and implementing strategies to mitigate those risks. This course provides a comprehensive overview of regulatory compliance, including the different types of compliance, the risks associated with non-compliance, and the role of compliance in an organization. The course also covers the latest regulatory developments and trends, which is essential knowledge for Risk Managers. By taking this course, you will gain the skills and knowledge you need to succeed in a career as a Risk Manager.
See salaries and explore the career path for Risk Manager
Information Security Analyst
Information Security Analysts are responsible for protecting an organization's information systems from unauthorized access, use, disclosure, disruption, modification, or destruction. This course provides a comprehensive overview of regulatory compliance, including the different types of compliance, the risks associated with non-compliance, and the role of compliance in an organization. The course also covers the latest regulatory developments and trends, which is essential knowledge for Information Security Analysts. By taking this course, you will gain the skills and knowledge you need to succeed in a career as an Information Security Analyst.
See salaries and explore the career path for Information Security Analyst
Consultant
Consultants provide advice and guidance to organizations on a variety of topics. This course provides a comprehensive overview of regulatory compliance, including the different types of compliance, the risks associated with non-compliance, and the role of compliance in an organization. The course also covers the latest regulatory developments and trends, which is essential knowledge for Consultants. By taking this course, you will gain the skills and knowledge you need to succeed in a career as a Consultant.
See salaries and explore the career path for Consultant
Business Analyst
Business Analysts are responsible for analyzing business processes and making recommendations on how to improve them. This course provides a comprehensive overview of regulatory compliance, including the different types of compliance, the risks associated with non-compliance, and the role of compliance in an organization. The course also covers the latest regulatory developments and trends, which is essential knowledge for Business Analysts. By taking this course, you will gain the skills and knowledge you need to succeed in a career as a Business Analyst.
See salaries and explore the career path for Business Analyst
Data Analyst
Data Analysts are responsible for collecting, analyzing, and interpreting data. This course provides a comprehensive overview of regulatory compliance, including the different types of compliance, the risks associated with non-compliance, and the role of compliance in an organization. The course also covers the latest regulatory developments and trends, which is essential knowledge for Data Analysts. By taking this course, you will gain the skills and knowledge you need to succeed in a career as a Data Analyst.
See salaries and explore the career path for Data Analyst
Financial Analyst
Financial Analysts are responsible for analyzing financial data and making recommendations on investments. This course provides a comprehensive overview of regulatory compliance, including the different types of compliance, the risks associated with non-compliance, and the role of compliance in an organization. The course also covers the latest regulatory developments and trends, which is essential knowledge for Financial Analysts. By taking this course, you will gain the skills and knowledge you need to succeed in a career as a Financial Analyst.
See salaries and explore the career path for Financial Analyst
Accountant
Accountants are responsible for preparing and maintaining financial records. This course provides a comprehensive overview of regulatory compliance, including the different types of compliance, the risks associated with non-compliance, and the role of compliance in an organization. The course also covers the latest regulatory developments and trends, which is essential knowledge for Accountants. By taking this course, you will gain the skills and knowledge you need to succeed in a career as an Accountant.
See salaries and explore the career path for Accountant
Lawyer
Lawyers provide legal advice and representation to clients. This course provides a comprehensive overview of regulatory compliance, including the different types of compliance, the risks associated with non-compliance, and the role of compliance in an organization. The course also covers the latest regulatory developments and trends, which is essential knowledge for Lawyers. By taking this course, you will gain the skills and knowledge you need to succeed in a career as a Lawyer.
See salaries and explore the career path for Lawyer
Project Manager
Project Managers are responsible for planning, organizing, and executing projects. This course provides a comprehensive overview of regulatory compliance, including the different types of compliance, the risks associated with non-compliance, and the role of compliance in an organization. The course also covers the latest regulatory developments and trends, which is essential knowledge for Project Managers. By taking this course, you will gain the skills and knowledge you need to succeed in a career as a Project Manager.
See salaries and explore the career path for Project Manager
Operations Manager
Operations Managers are responsible for planning, organizing, and directing the day-to-day operations of an organization. This course provides a comprehensive overview of regulatory compliance, including the different types of compliance, the risks associated with non-compliance, and the role of compliance in an organization. The course also covers the latest regulatory developments and trends, which is essential knowledge for Operations Managers. By taking this course, you will gain the skills and knowledge you need to succeed in a career as an Operations Manager.
See salaries and explore the career path for Operations Manager
Software Engineer
Software Engineers are responsible for designing, developing, and testing software. This course provides a comprehensive overview of regulatory compliance, including the different types of compliance, the risks associated with non-compliance, and the role of compliance in an organization. The course also covers the latest regulatory developments and trends, which is essential knowledge for Software Engineers. By taking this course, you will gain the skills and knowledge you need to succeed in a career as a Software Engineer.
See salaries and explore the career path for Software Engineer

Reading list

We've selected five books that we think will supplement your learning. Use these to develop background knowledge, enrich your coursework, and gain a deeper understanding of the topics covered in Introduction to Regulatory Compliance.
Cover image
The Law of Higher Education, A Comprehensive Guide...
Save
This handbook comprehensive guide to corporate compliance, covering topics such as regulatory compliance, internal controls, and risk management. It valuable resource for compliance professionals, corporate counsel, and other professionals who need to understand the legal and regulatory landscape of corporate compliance.
The Law of Higher Education, A Comprehensive Guide...
Paperback
Check
The Law of Higher Education, A Comprehensive Guide...
Kindle Edition
Check
Cover image
Application of Big Data for National Security
Save
This guide provides risk managers with a practical approach to managing data privacy and security risks. It covers topics such as data governance, risk assessment, and incident response.
Application of Big Data for National Security: A...
Paperback
$$$
Application of Big Data for National Security: A...
Kindle Edition
$$$
Cover image
Maldives
Save
This handbook provides a comprehensive overview of risk management for financial institutions. It covers topics such as risk assessment, risk mitigation, and capital adequacy.
Maldives
Paperback
Check
Maldives
Kindle Edition
Check
Cover image
IIBF X Taxmann's Bankers' Handbook on Auditing –...
Save
This handbook provides a comprehensive overview of internal auditing. It covers topics such as audit planning, risk assessment, and internal control evaluation.
IIBF X Taxmann's Bankers' Handbook on Auditing –...
Paperback
Check
IIBF X Taxmann's Bankers' Handbook on Auditing –...
Kindle Edition
Check
Cover image
Manager's Guide to Compliance
Save
This handbook provides further reading on best practices for risk management.
Manager's Guide to Compliance
Paperback
Check
Manager's Guide to Compliance
Kindle Edition
Check

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Governance Risk and Compliance GRC
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Good to know
Explores the spectrum of risks and how to address them, which is standard in compliance training
Develops a comprehensive understanding of internal controls that will help learners navigate regulatory environments
Teaches the Three Lines of Defense model that is used by most financial institutions and in other industries, which is a core concept in compliance
Examines relevant laws and regulations in multiple jurisdictions including the U.S. and the EU
Provides resources and study materials to reinforce learning
Covers a broad range of compliance topics including AI regulation and data protection
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