NEVADA | PROFESSIONAL EXPERIENCE

Program Professional Framework

Certificate in Compliance Management

Program Overview

Regulatory obligations in the Gulf are expanding quickly, covering anti-money laundering, data protection, consumer protection, sanctions and sector-specific rules from central banks and market regulators. This course shows how to manage compliance as a system: identifying obligations, assessing compliance risk, setting policies and controls, training and communicating, monitoring and testing, handling breaches and investigations, and reporting to senior management and the board. The structure follows ISO 37301 for compliance management systems, with links to ISO 37001 on anti-bribery and ISO 37002 on whistleblowing.

Learning Outcomes

✓Build a compliance obligations register that maps laws, regulations and internal commitments to owners.
✓Conduct a compliance risk assessment rating likelihood and impact of non-compliance by business area.
✓Design a compliance monitoring and testing plan with sampling, frequency and evidence requirements.
✓Establish a breach and incident management process including root-cause analysis and regulator notification.
✓Prepare a compliance report for the board that covers risk profile, breaches, remediation and culture indicators.

Target Audience

Compliance officers and compliance managers
Regulatory affairs and legal officers
AML and financial crime analysts
Risk and internal control specialists

Detailed Program Modules

01Compliance Function and Framework

Role, independence and mandate of compliance
ISO 37301 compliance management system structure
Compliance in GCC regulated sectors

02Obligations and Compliance Risk

Building and maintaining an obligations register
Compliance risk assessment methodology
Regulatory change management

03Policies, Controls and Culture

Policy framework and code of conduct
Preventive and detective compliance controls
Training, awareness and tone from the top

04Monitoring and Testing

Risk-based compliance monitoring plans
Testing techniques and evidence
Compliance KPIs and dashboards

05Breaches, Investigations and Whistleblowing

Breach logging, assessment and escalation
Conducting internal investigations
Speak-up channels aligned with ISO 37002

06Reporting and Regulator Relations

Board and management compliance reporting
Handling regulatory inspections and requests
Remediation tracking and lessons learned

Training Methodology

Interactive expert-led sessions grounded in workplace examples

Case studies and practical exercises drawn from the region

Group workshops with peer review of decisions and deliverables

Formative feedback against clear performance criteria

Applied Project & Assessment

Applied Project

Participants build a compliance toolkit for a selected business unit: an obligations register extract, a compliance risk heat map, a twelve-month monitoring plan and a sample board compliance report.

Assessment

Short diagnostic at the start, practical tasks linked to each learning outcome, and evaluation of the applied project against published criteria.

University Certificate & International Accreditation

Professional Certificate accredited by University of Malaya in Certificate in Compliance Management

International accreditation: International Auditors Group (IAG)