Compliance Programme

3.5 CPD


This module defines and explains the compliance programme as the “operational plan” of the compliance function. We look at the compliance program and the impacts on the provision of compliance related risk identification, assessment, consideration of adequacy of procedures, monitoring and reporting.  The preparation of a compliance programme is explained which includes plans for the proposed implementation of the compliance risk management process.


Focus Area

On completion of this learning module you will be able to:

  • Define and explain what is meant by a compliance programme
  • Define and explain what is meant by a risk-based compliance programme
  • Identify and explain what should be included in a compliance programme
  • Explain the coordination and agreement of the compliance programme with the internal audit and risk management function and the benefits to be derived

Who should register?

Compliance personnel, risk management personnel, business owners, key individuals

CPD information



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