Role-Based Programme
RB1620

AI-Powered Regulatory Compliance

Smarter Regulatory Research, Gap Analysis & Compliance Monitoring

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Duration
4 Hours
Level
Awareness
Delivery
Instructor-Led
Format
Awareness Session

Programme Objectives

  • Understand how AI can support Regulatory Compliance across regulatory research, obligation identification, control mapping, monitoring, and reporting.
  • Explore practical prompting techniques for regulatory summaries, applicability analysis, compliance checks, gap identification, and management updates.
  • Apply AI to organise regulatory information, extract obligations, compare requirements with internal controls, and prepare structured compliance outputs.
  • Identify opportunities to improve regulatory visibility, monitoring consistency, documentation quality, and follow-up efficiency.
  • Recognise legal interpretation boundaries, regulatory accuracy, confidentiality, evidence requirements, and human-review responsibilities when using AI.

Tools covered

Generative AI AssistantsAI-Assisted Regulatory ResearchDocument IntelligenceRegulatory SummarisationCompliance MappingGap Analysis SupportIssue TrackingBasic Workflow Automation

Who should attend

  • Regulatory Compliance Professionals
  • Compliance Executives
  • Compliance Analysts
  • Compliance Managers
  • Legal & Compliance Professionals
  • Regulatory Affairs Professionals
  • Governance, Risk & Compliance Professionals
  • Risk & Compliance Analysts
  • Policy & Governance Professionals
  • Internal Control Professionals
  • Compliance Monitoring Professionals
  • Internal Auditors
  • Legal & Compliance Team Leads

Prerequisites & Participant Readiness

  • Basic understanding of compliance, regulations, governance, or legal processes
  • Familiarity with policies, regulatory requirements, controls, or compliance documentation is helpful
  • Basic computer and office-productivity skills
  • No AI or programming knowledge required
  • No previous Generative AI experience required

TOC Modules

Concepts
  • Understanding Generative AI and its relevance to Regulatory Compliance
  • Identifying AI applications across regulatory research, obligation tracking, control mapping, monitoring, and reporting
  • Understanding AI assistance versus authorised Legal and Compliance judgement
  • Recognising activities where current regulations, official sources, and human validation remain mandatory
Practical activities
  • Mapping common Regulatory Compliance activities to potential AI applications
  • Comparing a traditional compliance-review task with an AI-assisted approach

Scenarios

Regulation to Compliance Matrix

Regulatory Document → AI-Assisted Summary → Key Obligations → Applicability → Existing Policies & Controls → Potential Gaps → Compliance Matrix

Participants use AI to analyse supplied regulatory material, extract applicable obligations, map them to internal controls, and prepare a structured compliance matrix for authorised review.

Compliance Monitoring to Management Action Plan

Monitoring Results → AI-Assisted Analysis → Exceptions → Regulatory Impact → Control Gaps → Corrective Actions → Management Summary

Participants use AI to organise sample compliance-monitoring results, identify potential gaps and required follow-up actions, and prepare a concise management brief while retaining final regulatory interpretation with authorised professionals.

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