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Compliance Officer


A Compliance Officer is responsible for ensuring that an organisation complies with any government regulations and external rules which affect the way they do business. If you’re highly-organised and have strong attention to detail, enrol on the Compliance Officer training course today to kickstart your career as a Compliance Officer. The Compliance Officer course has been expertly designed to provide you with the skills, knowledge, and experience you need to become an effective Compliance Officer and ensure the required rules and regulations are followed at all times. The Compliance Officer online training course will ensure that you know everything you need to keep your organisation compliant and ensure they don’t incur any fines or penalties. This expertly-created Compliance Officer course is accredited by the CPD, with 10 CPD points available to students without any further study. The Compliance Officer training course is made up of 8 comprehensive modules, each covering a different area of compliance and your responsibilities as a Compliance Officer. Students can expect to complete this Compliance Officer course in around 6 hours. Janets is one of the top online training providers in the UK and aims to provide every student with a top-quality education. With the Compliance Officer course, you can learn the skills you need to succeed as a professional Compliance Officer. What You Will Learn From the Compliance Officer Course: Learn about the benefits of compliance Explore how a Compliance Officer fits into the compliance department Learn about the five basic elements of compliance Discover how to work with a compliance management system (CMS) as a Compliance Officer Understand how to carry out a compliance audit Explore compliance and ethics Learn about risk and the different types of risk Gain insight into the risk management process What You Get Out Of Studying the Compliance Officer Course With Janets Free PDF certificate upon successful completion of the Compliance Officer course Full one-year access to Compliance Officer course materials Instant assessment results No hidden fees with the Compliance Officer course Full tutor support available from Monday to Friday Study the Compliance Officer course at your own pace Benefit from instant feedback through mock exams and multiple-choice assessments Gain a complete understanding of the role of a Compliance Officer Accessible, informative modules taught by expert instructors Get 24/7 help or advice from our email and live chat teams Study in your own time through your computer, tablet or mobile device Improve your chance of gaining professional skills and better earning potential by studying the Compliance Officer course

SKU: 279471 Category:


Accounting and finance_Compliance


Course Design

The Compliance Officer training course is delivered through Janets’ online learning platform. Access the Compliance Officer course content from any internet-enabled device whenever or wherever you want to. The Compliance Officer course has no formal teaching deadlines, meaning you are free to complete the course at your own pace.

You are taught through a combination of

  • Video lessons
  • Online study materials
  • Mock exams
  • Multiple-choice assessment

********** Course Modules***********

**Compliance Officer**

Module 1: Introduction to Compliance

  • What Is Compliance?
  • Definition of GRC.
  • Benefits of Compliance
  • Compliance Department
  • Responsibility of The Compliance Department
  • Compliance As A Challenge
  • Summary / Keynotes Of The Module

Module 2: Five basic elements of compliance

  • Five Basic Elements of Compliance
  • Compliance House
  • Policy And Code of Conduct
  • The Structure of The Compliance Organization
  • Compliance Processes
  • Incentives and Sanctions
  • Auditing and Development
  • Summary / Keynotes of the Module

Module 3: Compliance Management System (CMS)

  • Introduction to Compliance Management System
  • Elements of CMS
    • Board and Management Oversight
      • Key actions of Board and management
      • Compliance Committee
      • Compliance Officer
      • The roles and responsibilities of a Compliance Officer/Auditor
  • Compliance Program
      • Policies and procedures
      • Training
      • Monitoring and/or Audit
      • Consumer complaint response
  • Why is a CMS Important?
  • Summary / Keynotes of the Module

Module 4: Compliance Audit

  • What is ISSAI?
  • Definition of An Audit
  • Compliance Audit in a Public Sector Context
  • Elements of Compliance Audit
  • Principles of Compliance Auditing
    • Quality Control
    • Audit team management and skills
    • Audit Risk
    • Materiality
    • Documentation
    • Communication
  • Compliance Audit Process
  • What Auditors Look for in Different Audits
    • Financial Audit
    • Performance audit
    • Compliance audit
  • Summary / Keynotes of the Module

Module 5: Compliance and Ethics

  • Ethics And Compliance: Conceptual Differences
  • The Golden Rule
  • Values And Rules
  • Ethics and Compliance: Different Sides of the Same Coin?
  • Responsibilities of Ethics And Compliance Practitioners
  • Shared Challenges
  • Summary / Keynotes of the Module

Module 6: Risk and Types of Risk

  • What Is Risk?
  • Nature of Risk
  • Classification of Risk
  • Types of Pure Risk
  • Financial Risk
  • Different Types Of Financial Risk
  • Summary / Keynotes of the Module

Module 7– Introduction to Risk Management

  • What is Risk Management?
  • History of Risk Management and its Concepts
  • Objectives of Risk Management
  • Risk Management Standards
  • Principles of Risk Management
  • Risk Management Strategy
  • Risk Management Policy
  • Summary / Keynotes of the Module

Module 8: Risk Management Process

  • Identify The Risk
  • Analyse The Risk
  • Risk Evaluation
  • Treat The Risk
  • Monitor And Review The Risk
  • Summary / Keynotes Of The Module

Method of Assessment

To successfully complete the Compliance Officer course, students will have to take an automated multiple-choice exam. This exam will be online and you will need to score 60% or above to pass the Compliance Officer course. After successfully passing the Compliance Officer course exam, you will be able to apply for a CPD-accredited certificate as proof of your Compliance Officer knowledge.


All students who successfully complete the Compliance Officer course can instantly download their free e-certificate. You can also purchase a hard copy of the Compliance Officer course certificate, which will be delivered by post for £9.99.