Role-Based Programme
RB1622

AI-Powered Regulatory Compliance

Smarter Regulatory Monitoring, Obligation Mapping & Compliance Assurance

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Duration
16 Hours
Level
Intermediate
Delivery
Instructor-Led
Format
Capability Training

Programme Objectives

  • Apply AI across Regulatory Compliance activities including regulatory research, obligation identification, impact assessment, control mapping, monitoring, and reporting.
  • Use AI-assisted techniques to analyse regulations, circulars, guidance, policies, controls, and compliance evidence more efficiently.
  • Develop structured workflows for regulatory-change management, obligation tracking, compliance testing, issue remediation, and management reporting.
  • Analyse regulatory and compliance information to identify gaps, overdue obligations, recurring exceptions, emerging requirements, and areas requiring deeper review.
  • Apply responsible AI practices covering source verification, legal interpretation boundaries, confidentiality, data protection, evidence quality, and human oversight.

Tools covered

Generative AI AssistantsAI-Powered Regulatory ResearchDocument IntelligenceRegulatory Change AnalysisObligation MappingPolicy & Control AnalysisCompliance MonitoringSpreadsheet AnalysisReporting AssistanceWorkflow Automation

Who should attend

  • Regulatory Compliance Professionals
  • Compliance Managers
  • Compliance Officers
  • Legal & Compliance Executives
  • Regulatory Affairs Professionals
  • Compliance Analysts
  • Governance Professionals
  • Policy & Compliance Professionals
  • Risk & Compliance Analysts
  • Compliance Monitoring Professionals
  • Control & Assurance Professionals
  • Regulatory Change Professionals
  • Legal Operations Professionals
  • Legal & Compliance Team Leads

Prerequisites & Participant Readiness

  • Working knowledge of compliance, legal, regulatory, governance, or control activities
  • Familiarity with regulations, policies, procedures, monitoring, or compliance reporting is helpful
  • Basic document and spreadsheet skills
  • Basic awareness of Generative AI is helpful
  • No programming knowledge required

TOC Modules

Concepts
  • Understanding Generative AI, research assistance, document intelligence, analytics, and automation in regulatory compliance
  • Identifying AI applications across regulatory research, monitoring, mapping, assessment, and reporting
  • Understanding AI assistance versus qualified Legal and Compliance interpretation
  • Recognising risks related to outdated information, hallucinations, jurisdictional differences, and unsupported conclusions
Practical activities
  • Mapping the Regulatory Compliance lifecycle to AI-assisted activities
  • Identifying repetitive research and documentation activities suitable for AI support
  • Comparing traditional and AI-assisted compliance workflows

Scenarios

Regulatory Change to Compliance Implementation Plan

Regulatory Update → AI-Assisted Research → Obligation Extraction → Applicability Assessment → Policy & Control Mapping → Gap Analysis → Action Plan → Implementation Tracking

Participants analyse a simulated regulatory change, identify applicable obligations, map them to existing policies and controls, identify gaps, and prepare a structured implementation plan for authorised review.

Compliance Monitoring to Regulatory Management Report

Monitoring Results + Exceptions + Open Obligations + Regulatory Changes → AI Analysis → Risk Themes → Breaches & Gaps → Remediation Actions → Management Report

Participants consolidate sample compliance information, identify recurring issues and overdue obligations, and prepare a management-ready Regulatory Compliance report with clear actions, owners, and priorities.

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