Introduction

Organisations today operate within increasingly complex statutory and regulatory environments shaped by evolving laws, heightened enforcement, and expanding risk scenarios. Compliance professionals and managers must not only understand legal requirements but also translate them into effective policies, controls, and behaviours that protect the organisation and its stakeholders. Failure to do so exposes organisations to regulatory sanctions, reputational damage, and operational disruption.

This Statutory, Legal and Compliance Requirements training course examines the practical realities faced by compliance officers and legal professionals working within dynamic regulatory regimes. It explores the role, responsibilities, and authority of compliance functions, alongside the expectations of regulators and enforcement bodies. Participants gain clarity on how statutory obligations, regulatory standards, and best practices interact, and how risk-based compliance frameworks can be designed, implemented, and monitored effectively. The course adopts a practitioner-focused perspective, ensuring relevance across industries and regulatory contexts.

Key focus areas include:

Key Learning Outcomes

At the end of this Statutory, Legal and Compliance Requirements training course, participants will be able to:

Training Methodology

This Statutory, Legal and Compliance Requirements training course combines expert-led instruction with practical case studies, facilitated discussions, and interactive exercises. Drawing on real regulatory scenarios and documented compliance failures, the course ensures participants can translate legal requirements into practical, risk-focused compliance actions.

Statutory, Legal and Compliance Requirements

Who Should Attend?

This Statutory, Legal and Compliance Requirements training course is ideal for professionals seeking to:

  • Compliance officers and compliance managers
  • Legal and corporate governance professionals
  • Risk management and internal control specialists
  • Regulatory affairs and policy professionals
  • Senior managers with compliance oversight responsibilities
  • Professionals involved in regulatory liaison and enforcement matters

Course Outline

Day 1

Understanding Risk, Statutory, Legal and Regulatory Compliance

  • What is effective legal and regulatory compliance?
  • Prudential compliance
  • What are the objectives of compliance?
  • What is integrity in the eyes of the regulator?
  • Managing regulatory compliance in a dynamic environment

Regulators and their Power

  • The role of the regulator
  • Regulatory models
  • Enforcement
  • Regulatory rules
  • The framework of a regulator
  • The potential liability of regulators
Day 2

Understanding the Legal and Regulatory Environment

  • The need for, and objectives of law and regulation
  • Sources of law and regulation
  • Prevention of money laundering and financial crime
  • Understanding money laundering offences
  • Designing an effective reporting system
  • Terrorist financing
  • The USA PATRIOT act and US extraterritoriality
  • Money laundering and tax evasion
  • Financial crime
  • Preventing fraud
  • Corruption
  • Market manipulation / misleading statements, insider dealing and market abuse
Day 3

Industry Knowledge and Awareness

  • Codes of corporate governance
  • Regulatory principles
  • Overview of commercial laws and mechanisms governing legal persons and arrangements
  • Regulators
  • Products and services

The Role of the Compliance Officer

  • Compliance structure
  • The role of the compliance officer
  • Key compliance activities and processes
  • Risk-based compliance monitoring
  • Investigating compliance breaches
  • Training
Day 4

Compliance in Practice

  • Compliance governance
  • Internal and external relationships
  • Links between compliance, culture and ethics
  • Specific internal compliance control issues
  • Risk management

Key Compliance Issues

  • Practical considerations
  • Compliance oversight and internal controls
Day 5

Legislation of Relevance to the Compliance Function: Risk Management

  • Understanding where disputes are most likely to arise
  • Understanding regulatory risk
  • The risk management process: What to remember when designing an effective risk management system?
  • Opportunities and threats from risk management developments
  • Dealing with regulatory issues and enforcement
  • Why risk management of legislative breach must be included in compliance framework?
  • Key risk areas: financial crime and money laundering, cyber-crime, bribery and corruption, data protection loss
  • Best practice risk management techniques

International Standards & Professional Alignment

Our training courses are aligned with internationally recognised professional standards and frameworks across leadership, strategy, finance, governance, risk, compliance, and audit. By integrating globally trusted models, we ensure learners develop practical, relevant, and industry-recognised capabilities.

Our trainings draw on leading international standards and professional frameworks, including ISO, ISACA, COSO, OECD, IIA, FATF, Basel, IFRS/ISSB, GRI, NIST, CPD, ILM and the OECD AI Principles. This alignment ensures consistency with global best practices across financial management, risk oversight, digital governance, sustainability, and strategic decision-making..

Designed in alignment with globally recognised professional bodies, our courses support continuous professional development, strengthen organisational capability, and provide clear pathways toward professional certifications valued worldwide.

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FAQs

The course focuses on understanding statutory obligations, regulatory expectations, and practical compliance governance. 

Yes, it covers key risk areas such as money laundering, fraud, corruption, cyber-crime, and data protection. 

Yes, the course examines compliance roles, structures, responsibilities, and skills in depth. 

Yes, the course provides guidance on developing and implementing effective compliance policies and procedures. 

Professionals responsible for legal compliance, regulatory oversight, and risk management will benefit most. 

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