Compliance and Risk Management Course

Organizations face growing regulatory and risk environments, yet many professionals lack deep training in mitigating compliance and operational risks. Without expertise in identifying threats, implementing controls, and navigating regulations, organizations suffer fines, reputational damage, and loss.

This intensive course provides the education to proactively manage compliance and risk to protect the organization.

Mastering compliance and risk management delivers compelling benefits:

• Understand legal, regulatory compliance obligations
• Systematically identify business risks and mitigations
• Implement policies, procedures, and internal controls
• Monitor emerging regulatory issues and risk exposures
• Conduct audits and inspections to ensure standards are met
• Avoid fines, lawsuits, and reputational damages
• Instill risk-aware culture and behaviors
• Gain in-demand expertise to advance career

With practical, hands-on training focused on real-world application, this course empowers professionals tasked with compliance, risk management, and governance responsibilities to protect organizational interests.

Course Overview

This intensive course delivers interactive education in compliance and risk management concepts, frameworks, and methodologies.

Through group projects, assessments, and activities based on real scenarios, learners gain expertise in risk identification, control implementation, regulatory analysis, auditing, reporting, and driving risk-aware cultures.

Core topics align with ISO 31000 risk management standards. The course equips learners with tools and templates to systematically manage compliance and risk. By conclusion, learners can confidently assess threats, document risks, implement mitigations, and advise leadership.

Who Should Take This Course

Compliance, risk management, governance, and audit professionals. Also relevant for managers overseeing regulated activities.

What You’ll Learn

• Legal and regulatory compliance landscape
• Operational, strategic, financial risk management
• Risk identification, assessment, mitigation tools
• Policy and internal control implementation
• Compliance auditing and monitoring techniques
• Risk reporting, communication, and cultures
• Business continuity and crisis response

Course Content

Foundations of Compliance and Risk Management

• Defining risk management, relationship to governance
• Standards like COSO, ISO 31000, ONR 49000
• Risk management frameworks and processes
• Integrating with strategic planning and decision-making

Regulatory Compliance Responsibilities

• Researching legal, regulatory requirements
• Product safety, environmental, financial regulations
• Licensing and intellectual property laws
• Staying current on changing regulations

Risk Identification and Assessment

• Tools like risk register, heat maps, SWOT analysis
• Identifying risks across strategic, operational, compliance, financial categories
• Qualitative and quantitative risk analysis techniques
• Assessing inherent vs residual risk severity

Risk Treatment and Internal Controls

• Selecting risk avoidance, mitigation, transference
• Implementing policies, procedures, training
• Designing and documenting internal controls
• Automating controls in processes where possible

Compliance Monitoring and Auditing

• Developing risk-based audit plans and schedules
• Compliance program evaluation methods
• Interviewing, testing, inspecting, and analyzing
• Remediating gaps and reporting issues

Risk Reporting and Communications

• Key risk indicators, risk dashboards for stakeholders
• Risk disclosure requirements, statements
• anonymized reports to promote transparency

Fostering a Risk-Intelligent Culture

• Ongoing awareness training across the company
• Encouraging speaking up, accountability
• Rewarding proactive risk management
• Incorporating in performance management

Frequently Asked Questions

What experience level is required for this course?

It’s designed for early to mid-career professionals in risk, compliance, audit, and governance.

What is the learning format and duration?

This intensive course is available via 3, 5, or 10-day live online or in-person classes.

What materials or software is required?

Learners will benefit from Excel and Word to complete exercises.

Does this course lead to certification?

Yes, learners will earn a Compliance and Risk Management certification.

Can groups enroll together?

Yes, discounted corporate rates are available.

Is pre-work required prior to class?

No pre-work is required, but we recommend reviewing primer materials.

📅 Upcoming Schedules