1. Program Overview

The Regulatory Compliance and Risk Management Program is designed to equip professionals with the knowledge, skills, and frameworks necessary to ensure their organizations remain compliant with regulatory obligations while proactively managing risks. With the growing complexity of legal requirements, evolving regulatory landscapes, and increasing scrutiny by regulators, organizations must build resilient systems to prevent violations, minimize exposure, and maintain operational integrity.

This program emphasizes both strategic and operational approaches to regulatory compliance, risk identification, risk mitigation, monitoring, internal controls, and reporting. It blends legal awareness with practical tools, enabling participants to embed compliance into day-to-day processes and institutional culture.

2. Training Objectives

By the end of the program, participants will be able to:

• Understand regulatory frameworks and compliance obligations across sectors
• Identify, assess, and manage operational, legal, and reputational risks
• Develop and implement effective compliance policies and control systems
• Monitor changes in laws and regulations and adjust internal practices accordingly
• Build a compliance-oriented culture within their organization
• Apply risk assessment and mitigation tools
• Prepare for audits and regulatory inspections

3. Target Trainees

• Compliance Officers
• Risk and Audit Professionals
• Legal and Regulatory Affairs Personnel
• Governance and Ethics Officers
• Financial Services and Insurance Practitioners
• Procurement and Supply Chain Managers
• Senior Executives and Directors

4. Main Discussion Items / Modules

• Module 1: Foundations of Regulatory Compliance
• Definitions, principles, and importance
• Types of compliance: statutory, regulatory, contractual
• Regulatory agencies and enforcement bodies (e.g., CBK, CMA, NEMA, KRA, etc.)
• Module 2: Corporate Governance and Ethics
• Code of conduct and ethical leadership
• Role of boards and executive management in compliance
• Whistleblower protection mechanisms
• Module 3: Enterprise Risk Management (ERM)
• Risk identification and classification
• Risk appetite, tolerance, and heat maps
• Risk mitigation strategies and controls
• Module 4: Compliance Risk Assessment
• Key risk indicators (KRIs)
• Compliance risk register
• Linking risk to regulatory obligations
• Module 5: Compliance Monitoring and Internal Controls
• Designing and implementing internal controls
• Compliance reporting frameworks
• Role of internal audit in compliance
• Module 6: Regulatory Reporting and Communication
• Reporting requirements and timelines
• Interfacing with regulators and auditors
• Handling regulatory inquiries and investigations
• Module 7: Emerging Compliance Risks
• Data protection and cybersecurity (e.g., DPA 2019)
• ESG regulations and sustainability disclosures
• Anti-money laundering (AML) and anti-bribery compliance
• Module 8: Building a Compliance Culture
• Training and awareness programs
• Compliance integration into HR, finance, operations
• Role of technology in compliance management
• Additional modules will be tailored to specific industries, including banking, insurance, healthcare, manufacturing, or the public sector.

5. Training Methodology

• Interactive expert-led sessions
• Real-life case studies and regulatory scenarios
• Group exercises and simulations
• Risk mapping and compliance matrix creation
• Regulatory compliance audit checklists
• Panel discussions and knowledge exchange

6. Tasks

• Draft a compliance policy for your department
• Map out risks associated with your organizational function
• Identify applicable laws and regulations in your sector
• Create a regulatory compliance checklist
• Conduct a mini compliance self-audit
• Develop a staff compliance training calendar