Courses

• High-level awareness of why regulators and supervisory authorities exist (non-jurisdictional).
• Conceptual understanding of regulation, guidelines, codes of conduct, and internal policies (no legal interpretation).
• The idea of licensing, authorisation, and supervisory expectations at awareness level.

Typical components of a compliance framework:

• Policy and procedure structures.
• Training and awareness.
• Monitoring and testing.
• Reporting and escalation.
• The importance of documented policies and clear responsibilities in demonstrating compliance.

• More detailed (but still vocational) awareness of the main risk types in financial and corporate settings, without quantitative modelling.

Examples of basic controls that support risk mitigation, such as:

• Limits, authorisations, and approvals.
• Reconciliations and exception reporting.
• Segregation of duties and access controls (conceptual).
• Understanding the risk management process: identification, assessment (qualitative at awareness level), response, monitoring, and review.
• The role of risk registers, incident logs, and simple heatmaps at conceptual level.
• Coordination between business lines, risk functions, internal audit, and compliance in managing risk.

• Everyday compliance activities: monitoring adherence to policies, documenting checks, and escalating issues.
• Awareness-level understanding of financial crime risk prevention (e.g. anti-money laundering, fraud awareness, sanctions screening) from a compliance-support perspective, not as technical specialists and without operational detail on evasion methods.
• Supporting customer due diligence/documentation checks at basic level, in line with organisational procedures (no legal advice, no detailed jurisdiction-specific process).
• Working with checklists, standard forms, and internal systems to record compliance activities.
• Preparing simple internal reports or summaries for risk and compliance purposes, focusing on clarity, accuracy, and neutrality.

• Governance awareness: roles of board, senior management, risk committees, and control functions at conceptual level.
• Ethical principles in financial organisations: integrity, fairness, confidentiality, avoidance of conflicts of interest, and responsible treatment of clients and stakeholders.
• Importance of tone from the top, culture, and consistent day-to-day behaviour in managing conduct risk.
• Encouraging speak-up culture and appropriate escalation when issues or concerns are identified.
• Case-style discussions (conceptual) of ethical dilemmas and conduct failures, focusing on lessons for responsible behaviour.

Awareness of technology and systems used in risk and compliance work at a conceptual level:

• Risk and compliance dashboards.
• Basic reporting tools and data repositories.
• Workflow and case-management tools.
• The importance of data quality, confidentiality, and appropriate access controls, in line with organisational policies.
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  Emerging themes at awareness level (non-technical, non-promotional), such as:
• Digitalisation of compliance processes.
• Increasing use of analytics and automation in risk monitoring.
• Heightened focus on ESG-related risks and conduct expectations.
• The need for ongoing continuous learning and adaptation as regulations and practices evolve.