Certificate in Compliance and Risk Management Level 3

In module one, we will gain an in-depth understanding of what compliance is, taking a look at the benefits of compliance and the role and responsibilities of the compliance department.

In module two, we will explore policy and code of conduct in compliance, learning about the structure of the compliance organisation and key compliance processes. It includes training on how to implement an effective compliance audit process.

In module three, we’ll learn how to implement and monitor a Compliance Management System in the workplace, with step-by-step training. It discusses the key elements of CMS, the role of the compliance committee and compliance officer, and compliance programs.

In module four, we will learn about compliance auditing within a public sector context, exploring the principles and elements of compliance auditing. It covers key topics such as the compliance audit process, quality control, audit risk, and audit team management.

In module five, we will explore the conceptual differences between ethics and compliance, taking a look at the responsibilities of ethics and compliance practitioners, as well as shared challenges, values and rules.

In module six, we will learn what constitutes risk in compliance and risk management, exploring the classifications, types and nature of risk, from pure risk to financial risk.

In module seven, we will deepen our understanding of how to manage risk, learning about the standards and principles of risk management, as well as the history of risk management and its concepts.

In this final module, we will fully familiarise with the risk management process and framework, with training on how to identify, analyse, evaluate, monitor, review and treat risk.