Role-Based Programme
RB1621

AI-Powered Regulatory Compliance

Smarter Regulatory Research, Obligation Mapping & Compliance Monitoring

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Duration
8 Hours
Level
Basic
Delivery
Instructor-Led
Format
Workshop

Programme Objectives

  • Understand how AI can support Regulatory Compliance across regulatory research, obligation identification, policy review, monitoring, and reporting.
  • Apply AI-assisted techniques to analyse regulatory documents, extract obligations, compare requirements, and organise compliance responsibilities.
  • Use structured prompting for regulatory analysis, obligation mapping, gap identification, compliance review, and management reporting.
  • Explore AI-supported approaches for identifying changing requirements, recurring compliance issues, overdue actions, and monitoring priorities.
  • Build responsible AI-assisted Regulatory Compliance workflows while maintaining legal accuracy, confidentiality, source verification, governance, and human oversight.

Tools covered

Generative AI AssistantsAI Search & ResearchDocument AIRegulatory Research AIObligation MappingSpreadsheet & Data AnalysisCompliance Monitoring AIWorkflow Automation

Who should attend

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

Prerequisites & Participant Readiness

  • Basic understanding of Compliance, Legal, Risk, or regulatory activities
  • Familiarity with regulations, policies, procedures, controls, or compliance reports is helpful
  • Basic computer, spreadsheet, and document-handling skills
  • No AI or programming knowledge required
  • No previous AI training required

TOC Modules

Concepts
  • Understanding Generative AI and its relevance to regulatory compliance work
  • Identifying AI applications across regulatory research, obligation mapping, monitoring, and reporting
  • Understanding AI assistance versus legal, compliance, and management judgement
  • Recognising limitations such as outdated information, hallucinations, incomplete context, and unsupported interpretations
Practical activities
  • Mapping a typical Regulatory Compliance workflow
  • Identifying repetitive and information-intensive compliance activities suitable for AI assistance
  • Comparing a traditional regulatory-review task with an AI-assisted approach

Scenarios

New Regulation to Compliance Action Plan

New Regulation → AI-Assisted Requirement Extraction → Applicability Review → Obligation Mapping → Policy / Control Impact → Actions → Owners → Compliance Plan

Participants use AI to analyse a sample regulatory update, structure relevant obligations, identify impacted internal areas, and prepare a compliance action plan for authorised review.

Monitoring Results to Regulatory Compliance Report

Monitoring Data → AI Analysis → Exceptions → Recurring Themes → Regulatory Obligations → Remediation Actions → Tracking → Management Report

Participants use AI to analyse sample compliance-monitoring results, identify recurring issues and obligations, and prepare a management-ready Regulatory Compliance report.

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