Compliance Management Essentials Training Course

Duration 5 days 10 modules · 33 contact hours
Level Foundation to Intermediate Certificate on completion
Who attends Compliance Officers, Risk Managers and others
Fee from USD 1,100 KSh 95,000 for Kenyan organisations
Where 52 cities + online See dates by city
Next start 16 Nov 2026 Course code SD-RM-057

Before you join: Participants should have basic familiarity with their organisation’s policies, operating procedures or risk management arrangements.

Dates & prices

Two start dates a month in every city, and live online on weekdays or weekends. Fees are per participant; classroom fees include tuition, materials, lunch and refreshments, and the certificate.

Suggest a date or city

Showing the next six months. Later dates, other cities and private deliveries for your team are available on request.

Course overview

Compliance failures often arise from ordinary operational decisions: a new product is launched without required approvals, a third party is onboarded without adequate screening, mandatory reporting deadlines are missed, or staff apply policies inconsistently. The consequences can include regulatory action, financial penalties, customer harm, contract loss, remediation costs and damaged stakeholder confidence. Compliance managers need a disciplined method for identifying obligations, assessing exposure, assigning ownership and proving that controls operate as intended.

This course develops the practical foundations of compliance management. Participants learn to map regulatory and contractual obligations, establish governance arrangements, conduct compliance risk assessments, design policies and controls, manage third-party exposure, monitor control performance and report meaningful information to management. The course uses ISO 37301, ISO 31000, COSO ERM and the Three Lines Model as reference frameworks. Participants also examine incident handling, investigations, training, speak-up arrangements and regulatory engagement.

Teaching combines focused instructor briefings with case analysis, group work, control-design tasks, risk assessment simulations and structured peer review. Cases reflect issues faced by banks, public bodies, NGOs, multinational firms and regulated service providers, including sanctions screening, conflicts of interest, data handling, procurement integrity and conduct failures. Participants leave with a set of reusable compliance management documents, including an obligation register, compliance risk assessment, monitoring plan and reporting pack.

The course is suited to professionals who hold, support or oversee compliance responsibilities and need a practical operating model rather than legal specialist training. It is also useful for managers whose teams own controls, handle regulated processes or provide assurance to boards, audit committees and external regulators.

What you will be able to do

  • Map legal, regulatory, contractual and internal compliance obligations in a structured register
  • Conduct a compliance risk assessment using inherent risk, control effectiveness and residual risk ratings
  • Design compliance controls using preventive, detective and corrective control classifications
  • Assign governance accountabilities through a Three Lines Model and RACI matrix
  • Build a risk-based compliance monitoring and testing plan with documented evidence requirements
  • Evaluate third-party compliance exposure through due diligence, contractual controls and ongoing monitoring
  • Prepare management compliance reports using key risk indicators, key control indicators and issue trends
  • Develop an action plan for strengthening compliance culture, training and incident escalation

Benefits of attending

For you

  • Produce a defensible compliance risk assessment for a business unit or process
  • Translate regulatory requirements into practical controls, owners and evidence requirements
  • Present compliance issues clearly to senior management and governance committees
  • Recognise gaps in third-party due diligence, monitoring and contractual safeguards
  • Apply a repeatable method for responding to incidents, breaches and control failures

For your organisation

  • Clearer ownership of regulatory obligations and compliance controls
  • Earlier identification of conduct, reporting and third-party compliance risks
  • More consistent evidence for monitoring, internal audit and regulatory review
  • Reduced remediation effort through risk-based control testing and issue tracking
  • Stronger management reporting on compliance exposure, trends and overdue actions

Course modules

10 modules over 5 days

Participants can define the scope, purpose and operating boundaries of a compliance management system.

  • Compliance objectives, legal duties and voluntary commitments distinguished by source and force
  • Regulatory perimeter mapped using products, jurisdictions, entities and customer segments
  • Obligation registers structured with owners, due dates, evidence and dependencies
  • External rules translated into internal requirements, controls and operating procedures
  • Material compliance failures classified by legal, financial, conduct and reputational effects
  • Compliance mandates compared with legal, audit and operational risk responsibilities

Participants can establish clear governance roles, escalation routes and behavioural expectations for compliance.

  • Three Lines Model applied to management, oversight and independent assurance responsibilities
  • RACI matrices assign accountable owners for obligations, controls, testing and remediation
  • Board and committee terms of reference define compliance oversight responsibilities
  • Management information escalated through thresholds, reporting calendars and decision records
  • Speak-up arrangements assessed for confidentiality, non-retaliation and case handling
  • Conduct risk indicators linked to incentives, leadership behaviour and customer outcomes

Participants can assess, prioritise and document compliance risks using a consistent risk methodology.

  • Risk taxonomy separates regulatory, conduct, financial crime and data protection exposures
  • Inherent risk scored before considering existing controls or management actions
  • Control design and operating effectiveness assessed using defined rating criteria
  • Residual risk calculated from inherent exposure, control performance and treatment actions
  • Risk appetite statements set tolerances, triggers and mandatory escalation thresholds
  • Compliance risk registers record causes, events, impacts, owners and treatment dates

Participants can convert compliance requirements into usable policies, procedures and control activities.

  • Policy hierarchies distinguish principles, policies, standards, procedures and work instructions
  • Control objectives define the intended outcome before selecting specific activities
  • Preventive, detective and corrective controls matched to risk causes and consequences
  • Segregation of duties analysed through approval limits, access rights and reconciliations
  • Control evidence specified through logs, approvals, attestations and exception records
  • Policy exceptions governed through authority limits, expiry dates and documented rationale

Participants can manage regulatory change from external notice through implementation and closure.

  • Regulatory change sources tracked through regulator notices, laws and industry publications
  • Horizon scanning identifies proposed requirements, consultation papers and emerging enforcement themes
  • Change impact assessments identify affected processes, systems, products and control owners
  • Implementation plans sequence policy updates, training, systems changes and testing
  • Obligation register updates preserve requirement sources, effective dates and evidence links
  • Closure decisions require accountable approval and documented verification of implemented actions

Participants can apply risk-based due diligence and ongoing controls to third-party relationships.

  • Third-party segmentation considers service criticality, jurisdiction, access and payment exposure
  • Due diligence checks cover ownership, sanctions, adverse media and conflicts of interest
  • Beneficial ownership information verified against reliable records and risk indicators
  • Contract clauses specify audit rights, compliance obligations, reporting and termination rights
  • Ongoing monitoring uses trigger events, periodic reviews and transaction anomalies
  • Escalation procedures address suspected bribery, sanctions breaches and procurement misconduct

Participants can create a risk-based monitoring plan and evaluate control operation through testing.

  • Monitoring plans prioritise high-risk obligations, control weaknesses and regulatory commitments
  • Annual testing calendars align frequency with risk ratings and control criticality
  • Test procedures define population, sample selection, evidence criteria and pass thresholds
  • Walkthroughs trace transactions from initiation through approval, processing and record retention
  • Exceptions classified by severity, root cause, recurrence and customer impact
  • Issue logs track corrective actions, accountable owners, deadlines and validation results

Participants can manage compliance incidents through containment, investigation, reporting and remediation.

  • Incident criteria distinguish policy breaches, control failures, suspected misconduct and reportable events
  • Triage assesses immediate harm, legal exposure, evidence preservation and notification requirements
  • Investigation plans define allegations, scope, witnesses, records and confidentiality controls
  • Root cause analysis uses five whys, fishbone diagrams and control failure mapping
  • Remediation actions address process design, systems, training, supervision and disciplinary measures
  • Regulatory notifications prepared with facts, timelines, customer impact and corrective actions

Participants can prepare decision-useful compliance reports and coordinate assurance activities.

  • Key risk indicators measure exposure, breaches, overdue actions and control deterioration
  • Key control indicators track testing completion, exception rates and evidence quality
  • Management dashboards distinguish leading indicators from historical incident measures
  • Compliance reports present significant risks, trend analysis, decisions and action status
  • Assurance maps coordinate compliance monitoring, risk reviews and internal audit coverage
  • Regulator-ready records demonstrate governance, challenge, decisions and remediation follow-through

Participants can prepare a practical plan for improving compliance capability in their area of responsibility.

  • ISO 37301 requirements used to assess programme design and maturity
  • Annual compliance plans connect risk assessments, monitoring, training and reporting
  • Training needs analyses target roles, risk exposures, knowledge gaps and behavioural requirements
  • Policy attestations obtain documented acknowledgement of critical obligations and updates
  • Programme maturity reviews identify priority improvements, dependencies, resources and governance decisions
  • Ninety-day action plans define deliverables, sponsors, milestones and success measures

Exercises and examples are adapted to each cohort's sectors and roles.

What you take back to work

  1. Compliance obligation register template
  2. Compliance risk assessment matrix
  3. RACI governance matrix
  4. Risk-based monitoring and testing plan
  5. Third-party due diligence checklist
  6. Compliance management reporting dashboard

Who should attend

  • Compliance Officers — need a structured method for building and operating compliance programmes
  • Risk Managers — need to integrate compliance risks within enterprise risk management
  • Internal Auditors — need to assess compliance governance, controls and monitoring evidence
  • Legal Counsel — need to translate legal requirements into operational controls and ownership
  • Operations Managers — need to manage compliance obligations within business processes
  • Procurement and Third-Party Managers — need to control supplier and intermediary compliance exposure

Skills and tools covered

Obligation mappingCompliance risk assessmentControl designMonitoring and testingThird-party due diligenceCompliance reporting

Tools and standards

ISO 37301, ISO 31000, COSO ERM, Three Lines Model

How the course runs

Training methodology

The course uses short instructor briefings to introduce frameworks, followed by applied case work drawn from regulated operations. Participants analyse obligation sources, score compliance risks, design controls, review third-party files and interpret monitoring results. Group exercises test decision-making under reporting deadlines, conduct concerns and control failures. Simulations develop incident escalation and management reporting skills. Each participant builds an application plan using their own role, business process or compliance challenge as a reference point.

Requirements and prerequisites

Participants should have basic familiarity with their organisation’s policies, operating procedures or risk management arrangements. Experience in compliance, risk, legal, audit, finance, operations, procurement or governance is useful, but specialist compliance experience is not assumed. Participants should be comfortable reading policy documents, discussing process controls and working with simple risk ratings. No law degree, audit qualification, prior knowledge of ISO standards or technical regulatory certification is required. The course explains the core frameworks before applying them to realistic compliance scenarios.

A typical training day

08:30 – 10:30First session
10:30 – 10:45Refreshment break
10:45 – 12:30Second session
12:30 – 13:30Lunch and networking
13:30 – 15:00Third session
15:00 – 15:15Refreshment break
15:15 – 16:30Workshop and daily review

Live online deliveries follow the same structure in East Africa Time, with shorter screen blocks and longer breaks.

What the fee includes

  • Instruction by a practitioner facilitator
  • Full course workbook and materials
  • Exercise files, templates and case studies
  • Refreshments and lunch on classroom deliveries
  • Certificate of completion
  • Post-course application plan

Frequently asked questions

Participants need basic familiarity with business processes, policies or risk responsibilities. Specialist compliance experience, a legal qualification and prior knowledge of ISO standards are not required.

Participants may bring a non-confidential policy, risk register, process map or compliance challenge from their workplace. Course materials and templates are provided, and no confidential information should be shared.

It suits new and developing compliance professionals, risk managers, internal auditors, legal counsel and operational managers with control responsibilities. It also supports procurement and third-party managers handling higher-risk suppliers or intermediaries.

This course addresses the management system used to organise compliance across obligations, controls, monitoring, reporting and remediation. Specialist courses focus more deeply on a single regulation, such as anti-money laundering, sanctions or data protection.

Participants can use the templates to map obligations, assess a process risk, clarify control ownership or improve an existing monitoring plan. The final application plan identifies practical actions for the next 90 days.

Each training day runs from 08:30 to 16:30 and provides about 6.5 contact hours. Time is divided between instructor input, case analysis, group tasks, simulations, discussion and application planning across ten modules.

Questions about this course?

Ask about dates, fees, group bookings or running it for your team. Our training team replies by email.

Ask on WhatsApp info@skillsetdevelopment.com

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