Global Learning for Operational Leaders
Classroom
14 sessions
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Online / Live
14 sessions
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Introduction
Course overview
Compliance monitoring and testing provide evidence that controls are working and regulatory obligations are met. Regulators expect a risk-based, documented monitoring programme rather than ad hoc checks.
This Aractech course covers designing a compliance monitoring programme, risk-based planning, test design, sampling, data analytics, documentation, issue management, reporting and coordination with internal audit. Participants build a monitoring plan and test scripts.
The course suits compliance officers in regulated sectors.
What you will achieve
Learning objectives
- Design a risk-based compliance monitoring programme
- Plan monitoring activities
- Design compliance tests and scripts
- Apply sampling and analytics
- Manage and track compliance issues
- Report monitoring results
Who should attend
Target audience
- Compliance officers
- Compliance monitoring and testing teams
- Risk managers
- Internal auditors
- Operations managers in regulated firms
- Quality assurance staff
Methodology
Learning approach
- Programme design workshop
- Test script exercises
- Case studies
- Analytics lab
- Group discussions
Complete course outline
Five focused days of learning and application
The timings provided are estimates and may vary depending on the number of participants and the discussions taking place during the sessions. They are indicative only and do not constitute a binding commitment.
Day 1
Monitoring Programmes
- Purpose of monitoring
- Regulatory expectations
- Monitoring versus audit
- Programme components
- Coffee break
- Programme components (continued)
- Governance
- Exercise: Programme review
Day 2
Risk-Based Planning
- Compliance risk assessment
- Prioritisation
- Annual plans
- Resources
- Coffee break
- Resources (continued)
- Coverage
- Workshop: Monitoring plan
Day 3
Test Design
- Test objectives
- Test scripts
- Sampling
- Evidence
- Coffee break
- Evidence (continued)
- Analytics
- Exercise: Writing test scripts
Day 4
Issues Management
- Rating issues
- Root causes
- Action plans
- Tracking
- Coffee break
- Tracking (continued)
- Escalation
- Case study: Compliance breach
Day 5
Reporting
- Reporting to management
- Board reporting
- Trends
- Coffee break
- Trends (continued)
- Coordination with audit
- Improvement
- Capstone: Monitoring programme
FAQ
Frequently asked questions
What does Regulatory Compliance Monitoring and Testing (AGRC-035) cover?
This course covers Auditing and Governance Risk and Compliance through a structured five-day outline focused on practical application, discussion, and implementation planning.
When is the next available session?
The next scheduled session starts on 2 - 6 November 2026. See the course schedules section for the available dates and delivery formats.
Who should attend this course?
Compliance officers, Compliance monitoring and testing teams, Risk managers
Is bilingual course delivery available?
Yes. All course materials and presentations are provided in English, while bilingual explanation and discussion support may be available depending on the selected location and trainer availability. For example, when attending a course in Istanbul, you may request a Turkish-speaking trainer to explain the English course content in Turkish. Arabic explanation support may also be requested at this location. Other languages are available in selected cities. You can choose your preferred language support as an optional preference during registration.
How can I register for a session?
Use any Register button next to the available course dates to open the participant registration page and submit your booking request for the selected session.
Is this course available online as well as classroom-based?
Check the course schedules section for currently published classroom and Online / Live sessions.
Where are classroom sessions delivered?
Current classroom venues include Barcelona, Paris, Rome, Geneva, Amsterdam, London, Istanbul, Cape Town.
How long is the training programme?
The programme runs for five days from 09:00 to 14:00, which gives 25 contact hours, including a daily 30-minute break (22.5 hours of instruction).
Quick request
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Choose an available date and venue, add your participants, and we will email a formal quotation for Regulatory Compliance Monitoring and Testing to your business address.