Role-Based Programme
RB1686

AI-Powered Compliance Risk

Smarter Regulatory Monitoring, Control Assessment & Compliance Assurance

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

Programme Objectives

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

Tools covered

Generative AI AssistantsAI-Powered ResearchRegulatory IntelligenceDocument IntelligenceSpreadsheet AnalysisCompliance MonitoringControl AssessmentRisk ScoringReporting AssistanceWorkflow Automation

Who should attend

  • Compliance Risk Professionals
  • Compliance Managers
  • Compliance Analysts
  • Risk Management Professionals
  • Internal Auditors
  • Governance, Risk & Compliance Professionals
  • Regulatory Compliance Professionals
  • Compliance Monitoring Professionals
  • Control & Assurance Professionals
  • Operational Risk Professionals
  • Policy & Governance Professionals
  • Regulatory Affairs Professionals
  • Compliance Assurance Managers
  • Risk & Internal Audit Team Leads

Prerequisites & Participant Readiness

  • Working knowledge of compliance, risk, audit, governance, or control activities
  • Familiarity with regulations, policies, procedures, compliance monitoring, or control testing is helpful
  • Basic spreadsheet and data-analysis skills
  • Basic awareness of Generative AI is helpful
  • No programming knowledge required

TOC Modules

Concepts
  • Understanding Generative AI, analytics, research, and automation in Compliance Risk
  • Identifying AI applications across regulatory monitoring, obligation mapping, control review, and reporting
  • Understanding AI assistance versus compliance, legal, audit, and management judgement
  • Recognising compliance activities that require authoritative interpretation and human approval
Practical activities
  • Mapping the Compliance Risk lifecycle to AI-assisted opportunities
  • Identifying repetitive research, documentation, and monitoring tasks suitable for AI support
  • Comparing traditional and AI-assisted compliance workflows

Scenarios

Regulatory Requirement to Compliance Control

Regulatory Requirement → AI-Assisted Obligation Extraction → Applicability Review → Risk Identification → Control Mapping → Gap Analysis → Remediation Plan

Participants use AI to analyse a sample regulatory requirement, extract relevant obligations, assess applicability, map controls, identify gaps, and prepare a compliance action plan for authorised review.

Compliance Monitoring to Management Reporting

Monitoring Data → AI-Assisted Exception Analysis → Risk Categorisation → Root-Cause Review → Remediation Tracking → KRIs → Management Report

Participants analyse sample compliance-monitoring information, identify recurring exceptions and overdue actions, and prepare a management-ready Compliance Risk report with clear ownership and follow-up priorities.

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