Custom Courses Governance, Risk and Compliance

Compliance Management Training

SAQA US AATICD-0160 | NQF 5 | Credits 10 | Duration 5 Days
From $913 per delegate

Description

This course equips learners with the knowledge and skills to manage compliance within an organisation. It covers the legal and regulatory framework, risk assessment, and implementation of compliance programmes to ensure adherence to relevant laws and standards.

Learning Outcomes

  • Apply relevant legislation and regulatory requirements to manage compliance within an organisation.
  • Analyse compliance risks and develop strategies to mitigate them.
  • Evaluate the effectiveness of existing compliance policies and procedures.
  • Design a compliance management framework tailored to an organisation's context.
  • Implement monitoring and reporting mechanisms to ensure ongoing compliance.
  • Demonstrate the ability to advise stakeholders on compliance obligations.

Target Audience

This course is designed for managers, compliance officers, and anyone responsible for ensuring organisational compliance with legal and regulatory requirements in South Africa.

Prerequisites

None — open enrollment.

Course Outline

Day 1: Foundations of Compliance Management

Objectives:
• Define compliance management and its importance in the business context.
• Identify the key regulatory frameworks applicable in South Africa.
• Understand the roles and responsibilities of a compliance officer.
• Explain the consequences of non-compliance for organisations.

Topics:
• Introduction to compliance management: concepts and scope.
• Overview of South African regulatory environment: Companies Act, King IV, POPIA, and sector-specific regulations.
• The compliance function: structure, positioning, and independence.
• Key stakeholders: regulators, management, board, and employees.
• Consequences of non-compliance: legal, financial, and reputational risks.
• Ethics and corporate governance principles.
• Introduction to compliance risk management.
• Case study: real-world examples of compliance failures.

Day 2: Compliance Risk Assessment and Controls

Objectives:
• Conduct a compliance risk assessment using a structured methodology.
• Identify and evaluate compliance risks within an organisation.
• Design and implement effective internal controls.
• Develop a compliance risk register.

Topics:
• Compliance risk assessment framework: identification, analysis, and evaluation.
• Risk appetite and tolerance levels.
• Tools for risk assessment: checklists, questionnaires, workshops.
• Internal controls: preventive, detective, and corrective.
• Designing control activities: policies, procedures, and systems.
• Documentation: compliance risk register and control matrices.
• Monitoring and testing controls.
• Practical exercise: conducting a risk assessment for a sample organisation.

Day 3: Compliance Monitoring and Reporting

Objectives:
• Develop a compliance monitoring plan.
• Perform compliance reviews and audits.
• Prepare effective compliance reports for management and the board.
• Use key risk indicators (KRIs) and key performance indicators (KPIs).

Topics:
• Compliance monitoring framework: scope, frequency, and methods.
• Planning and executing compliance reviews: checklists and sampling.
• Reporting structures: dashboards, reports, and presentations.
• Key risk indicators (KRIs) and key performance indicators (KPIs) for compliance.
• Escalation procedures for non-compliance.
• Whistleblowing and incident management.
• Continuous improvement: corrective actions and follow-up.
• Practical exercise: drafting a compliance monitoring report.

Day 4: Regulatory Engagement and Compliance Culture

Objectives:
• Engage effectively with regulators and manage regulatory inspections.
• Foster a culture of compliance within the organisation.
• Develop and deliver compliance training.
• Handle regulatory inquiries and enforcement actions.

Topics:
• Building relationships with regulators: communication and transparency.
• Preparing for and managing regulatory inspections and audits.
• Responding to regulatory inquiries and enforcement actions.
• Compliance culture: tone at the top, employee engagement.
• Training and awareness programmes: design and delivery.
• Managing conflicts of interest and ethics.
• Role of technology in compliance: GRC systems and automation.
• Practical exercise: role-playing a regulatory inspection scenario.

Day 5: Integrated Compliance Management and Future Trends

Objectives:
• Integrate compliance management with enterprise risk management (ERM).
• Develop a compliance management framework and programme.
• Identify emerging compliance trends and challenges.
• Prepare for the role of a compliance professional in a changing environment.

Topics:
• Integrating compliance with ERM, internal audit, and legal functions.
• Designing a compliance management framework: policy, process, and people.
• Compliance programme maturity model.
• Emerging trends: ESG compliance, data privacy, AI and compliance.
• Challenges: regulatory complexity, resource constraints, remote work.
• Career development in compliance: certifications and continuing education.
• Final assessment: developing a compliance programme for a case study.
• Course wrap-up and evaluation.

Practicals

No practicals for this training.

This course is made up of exercises and case studies delivered alongside the theory — no separate practical sessions are required to complete it.

Summatives

Each delegate is assessed continuously throughout the course and a final summative test at the end.

Daily Exercises — 30%

Every training day ends with a multiple-choice exercise scored out of 100%. The scores from each daily exercise are averaged across the duration of the course to produce a Daily Average mark, which contributes 30% to the final total.

Final Test — 70%

On the last day a final summative test is written. It is a multiple-choice paper with multiple-answer questions: each question may have more than one correct option, and a single wrong selection on a question marks the entire question wrong — no partial credit. The final test is scored out of 100% and contributes 70% to the overall mark.

Final Total
Component Out of Weight
Daily Average (multiple choice) 100% 30%
Final Test (multi-answer multiple choice) 100% 70%
Final Total 100%

All marks are recorded on the AATICD LMS and visible to each learner under their account.

Certificate

Certificate of Completion

Awarded to delegates who achieve an overall mark of 50% or higher on the Final Total (Daily Average 30% + Final Test 70%).

How it works
  • Certificates are auto-generated on the AATICD LMS as soon as the marks pass the 50% threshold.
  • Each certificate is a branded PDF with the delegate's name, the course title, the unit standard ID, NQF level, credits, and the date of issue.
  • You can download or print your certificate from your LMS dashboard at any time after issue — there's no reissue fee and no expiry date.
  • If you scored under 50% you can sit the final test again at the next scheduled session at no extra cost.
Where to find it

Sign in to the LMS, open your dashboard, and your certificates appear under My Certificates. Each entry has a View / Download button and a print option.

Training Discounts

Group discounts apply automatically — the more delegates you enrol, the greater the saving. Discounts are calculated at 3% per 5 delegates, scaling up to 40% off for 100+ delegates.

Delegates Discount
5 3% off
10 6% off
15 9% off
20 12% off
25 15% off
30 18% off
50 30% off
75 35% off
100 40% off

3% discount per 5 delegates, up to 40% off for 100+ delegates. Contact us for a custom group quote.

Upcoming Training Sessions
Online training — attend live sessions from anywhere via our virtual classroom.
Start End Delivery Season Price Action
Mon 07 Sep 2026 Fri 11 Sep 2026 Virtual Spring 2026 $913 Register
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Mon 20 Dec 2027 Fri 24 Dec 2027 Virtual Summer 2027 $913 Register
Mon 03 Jan 2028 Fri 07 Jan 2028 Virtual Summer 2027 $913 Register
On-Campus training — face-to-face sessions at our training venues across Africa and beyond.
Showing all 420 sessions across 26 venues
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Mon 24 Aug 2026 Fri 28 Aug 2026 Victoria Falls, Zimbabwe Winter 2026 $2,587 Register
Mon 24 Aug 2026 Fri 28 Aug 2026 Bangkok, Thailand Winter 2026 $5,827 Register
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Mon 31 Aug 2026 Fri 04 Sep 2026 London, UK Winter 2026 $5,827 Register
Mon 07 Sep 2026 Fri 11 Sep 2026 Mauritius Spring 2026 $3,343 Register
In-House training — we bring the trainer to your organisation, tailored to your team.
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Mon 14 Sep 2026 Fri 18 Sep 2026 Your Premises Spring 2026 $1,188 Register
Mon 28 Sep 2026 Fri 02 Oct 2026 Your Premises Spring 2026 $1,188 Register
Mon 12 Oct 2026 Fri 16 Oct 2026 Your Premises Spring 2026 $1,188 Register
Mon 14 Dec 2026 Fri 18 Dec 2026 Your Premises Summer 2026 $1,188 Register
Mon 11 Jan 2027 Fri 15 Jan 2027 Your Premises Summer 2026 $1,188 Register
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Mon 08 Mar 2027 Fri 12 Mar 2027 Your Premises Autumn 2027 $1,188 Register
Mon 14 Jun 2027 Fri 18 Jun 2027 Your Premises Winter 2027 $1,188 Register
Mon 28 Jun 2027 Fri 02 Jul 2027 Your Premises Winter 2027 $1,188 Register
Mon 12 Jul 2027 Fri 16 Jul 2027 Your Premises Winter 2027 $1,188 Register
Mon 13 Sep 2027 Fri 17 Sep 2027 Your Premises Spring 2027 $1,188 Register
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Mon 11 Oct 2027 Fri 15 Oct 2027 Your Premises Spring 2027 $1,188 Register
Mon 13 Dec 2027 Fri 17 Dec 2027 Your Premises Summer 2027 $1,188 Register
Mon 27 Dec 2027 Fri 31 Dec 2027 Your Premises Summer 2027 $1,188 Register
Mon 10 Jan 2028 Fri 14 Jan 2028 Your Premises Summer 2027 $1,188 Register
Training Discounts
Delegates Discount
5 3% off
10 6% off
15 9% off
20 12% off
25 15% off
30 18% off
50 30% off
75 35% off
100 40% off

3% off per 5 delegates, up to 40% for 100+

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