Role-Based Programme
RB1687

AI-Powered Compliance Risk Management

Regulatory Intelligence, Control Monitoring & Compliance Automation

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Duration
32 Hours
Level
Advanced
Delivery
Instructor-Led
Format
Capability Development

Programme Objectives

  • Develop advanced capability to apply AI across compliance-risk identification, regulatory research, obligation management, control monitoring, testing support, and reporting.
  • Use AI to analyse regulations, policies, procedures, compliance registers, control evidence, incidents, exceptions, and management information.
  • Build repeatable AI-assisted workflows for regulatory-change tracking, obligation mapping, compliance assessments, monitoring, issue management, and remediation follow-up.
  • Apply AI to identify compliance gaps, recurring exceptions, emerging regulatory themes, control weaknesses, and areas requiring specialist review.
  • Design responsible AI-enabled Compliance Risk workflows with appropriate controls for confidentiality, legal interpretation, evidence integrity, explainability, auditability, and human oversight.

Tools covered

Generative AI AssistantsAI Search & ResearchDocument AISpreadsheet & Data AnalysisRegulatory Intelligence ToolsCompliance AnalyticsControl Monitoring ToolsReporting & Dashboard ToolsKnowledge Management AIWorkflow Automation

Who should attend

  • Compliance Risk Managers
  • Compliance Managers
  • Compliance Officers
  • Compliance Analysts
  • Risk Managers
  • Enterprise Risk Professionals
  • Internal Auditors
  • Risk & Control Analysts
  • Governance Professionals
  • Regulatory Compliance Professionals
  • Operational Risk Professionals
  • Compliance Monitoring Professionals
  • Control Assurance Professionals
  • Regulatory Affairs Professionals
  • Compliance & Risk Team Leads

Prerequisites & Participant Readiness

  • Working knowledge of compliance, risk management, governance, internal controls, or assurance activities
  • Familiarity with regulations, policies, procedures, compliance controls, monitoring, findings, or regulatory reporting
  • Basic proficiency with spreadsheets, documents, data interpretation, and workplace productivity applications
  • No previous AI course attendance required
  • No programming background required

TOC Modules

Concepts
  • Understanding Generative AI, analytical AI, Document AI, regulatory intelligence, and workflow automation
  • Mapping AI opportunities across Compliance Risk Management
  • Understanding AI assistance versus Compliance, Legal, Risk, and management judgement
  • Recognising hallucination, outdated information, confidentiality, and interpretation risks
Practical activities
  • Mapping an existing compliance-risk lifecycle and identifying AI opportunities
  • Comparing manual and AI-assisted compliance activities
  • Creating an AI opportunity matrix based on value, risk, sensitivity, and feasibility

Scenarios

Regulatory Change to Compliance Implementation

Regulatory Update → Requirement Extraction → Applicability Assessment → Obligation Mapping → Policy & Control Impact → Action Plan → Implementation Tracking → Management Reporting

Participants use AI-assisted techniques to analyse a simulated regulatory development, identify affected requirements and controls, structure implementation actions, and prepare a compliance-readiness report for authorised review.

Compliance Data to Continuous Monitoring Workflow

Compliance Incidents + Monitoring Results + Control Exceptions + Regulatory Changes + Remediation Data → AI Analysis → Risk Themes → Priority Actions → Automated Follow-Up → Dashboard → Committee Reporting

Participants design an AI-enabled continuous compliance workflow that consolidates compliance information, highlights recurring issues and overdue actions, improves regulatory-change visibility, and supports management reporting while retaining regulatory interpretation and compliance decisions with authorised professionals.

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