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Compliance Regulatory Professionals

An Interactive 5-Day Training Course

Compliance Regulatory Professionals

Perform Better by Protecting the Firm from Compliance Risk

NASBA
Classroom Schedule
Date Venue Fees
06 - 10 Apr 2026 London $ 5,950
08 - 12 Jun 2026 Dubai $ 5,950
17 - 21 Aug 2026 London $ 5,950
12 - 16 Oct 2026 Dubai $ 5,950
16 - 20 Nov 2026 Barcelona $ 5,950
21 - 25 Dec 2026 London $ 5,950
Online Schedule
Date Venue Fees
08 - 12 Jun 2026 Online $ 3,950
21 - 25 Dec 2026 Online $ 3,950
Overview

The Compliance Regulatory Professionals training course is tailored to empower individuals with the essential knowledge and skills to understand and support regulatory compliance and overall risk management within an organization. It delves into the various regulatory frameworks; markets; and products; aiming to foster best practices and adherence to international standards that align with business objectives and regulatory requirements. By addressing a broad spectrum of topics; including the establishment of effective systems and controls; the development of a compliance monitoring program; and the construction of a risk-based Customer Due Diligence (CDD) process; the compliance training course equips participants with the strategies and tools needed to manage compliance responsibilities effectively. Furthermore; it emphasizes the importance of building positive relationships with regulators; board members; and colleagues at every organizational level; enhancing the participant's proficiency in compliance-related matters.

Upon completion; participants of this Compliance Regulatory Professionals training course will gain a multifaceted understanding of the roles and objectives of regulation; the core responsibilities of compliance; and the foundational principles governing these areas. This training course is designed to instil confidence in handling compliance and its associated functions; identifying and mitigating compliance risks; and fostering a compliance-oriented culture within an organization. Focusing on practical application; the training methodology includes case studies; interactive discussions; role-playing; and group exercises; ensuring that participants can translate theoretical knowledge into real-world practice. This not only benefits the individuals in their professional development—enhancing their understanding of regulatory environments; risk management; and corporate governance—but also significantly contributes to their organizations by supporting the compliance team; improving regulatory analysis; and facilitating the development of effective compliance programs; ultimately safeguarding the organization's reputation and minimizing the risk of non-compliance.

This course is also available as a CPD certified training course under the title: Professional Certificate in Compliance Regulations

Course Summary

This GLOMACS Compliance Regulatory Professionals training course is designed to provide its delegates with the knowledge and skills needed to understand and support regulatory compliance and enterprise-wide risk management. Also, to know how to deal with the rules, the markets, products and transactions, to promote best practices and international standards that align with business and regulatory requirements.

This is an intensive and highly practical training course that qualifies you to become proficient in compliance. It provides the necessary skills to build the right relationship with your regulators, and your board of directors and to deal with individuals at all levels of your organization.

This training course also covers several topics regarding the regulatory bodies for all firms to establish and maintain effective systems and controls, to develop effective compliance monitoring programs and to build a risk-based Customer Due Diligence (CDD) process. It provides you with the best techniques to manage effectively and responsibly in compliance with all applicable laws and regulations. As well as the advanced tools to protect your business from compliance risk and support you with professional standards and internal policies in corporate governance and risk management.

Course Outline
Day 1

The Regulatory Environment and the Role of Regulators

  • An Overview of the Regulatory Environment
  • The Objectives of Financial Services Regulation
  • International Regulation
  • The Role of the Regulators
  • What do the Regulators expect?
  • Your Jurisdiction Environment
  • The Best Practice in Regulatory Obligation
  • ISO 19600: Compliance Management Systems
Day 2

The Compliance Functions

  • Compliance Structure
  • The Role of the Board of Directors, the Supervisors, the Internal and External Auditors
  • Responsibilities of the Compliance Officer
  • Key Compliance Activities and Processes
  • Compliance and Corporate Governance
  • Corporate Governance and Financial Crime Prevention
  • Compliance Training
  • Conflicts of Interest
  • Ongoing Compliance with Laws and Regulations
Day 3

Risk Management and Compliance Risk

  • Understanding a Risk Management Approach
  • Creating a Risk Management Approach
  • The Definition of Governance, Risk and Compliance
  • The Need for Internal Controls
  • Identify, Mitigate and Control Risks Effectively
  • Approaches to Risk Assessment
  • The Importance of Compliance Culture
  • Managing Key Relationships – external and internal
Day 4

Establishing an Effective Compliance Function

  • Factors to be Considered in Designing a Compliance System
  • Developing an Internal Compliance System
  • Implementing and Communicating Internal Compliance Arrangement
  • Compliance Manual
  • Establishing Policies and Procedures
  • Creating a Compliance Monitoring Program
  • The Need for Independence
  • Record Keeping ƒ Compliance Reports
  • Managing the Regulators and Change in Regulations
Day 5

Managing the Risk of Money Laundering and Financial Crimes

  • Understanding Money Laundering Offences
  • MLRO and Compliance Officer
  • The Risk-based Approach to Money Laundering / Terrorist Financing
  • Suspicious Activity Monitoring, Detection and Reporting
  • Preventing Fraud
  • Bribery and Corruption
  • Insider Trading
  • Market Abuse
  • Sanctions and their Role in the Global Economy
Certificates
  • On successful completion of this training course, GLOMACS Certificate will be awarded to the delegates. Continuing Professional Education credits (CPE): In accordance with the standards of the National Registry of CPE Sponsors, one CPE credit is granted per 50 minutes of attendance.
Providers and Associations

Endorsed Education Provider

KHDA
NASBA

In Association With

Options & Brochure

Why Choose Saudi GLOMACS?

Saudi GLOMACS is the official Saudi Arabian division of GLOMACS International (glomacs.com), delivering internationally recognised training courses both within Saudi Arabia and across international locations. Our training courses are aligned with the highest professional and institutional standards, supported by a strong understanding of the professional landscape in Saudi Arabia and access to global expertise.

Saudi GLOMACS enables professionals and organisations to strengthen leadership, capability, and long-term excellence through consistently high-quality learning experiences.

Official Saudi Presence

Official Saudi Arabian division of GLOMACS with established global credibility.

International Benchmarks

Internationally benchmarked training courses aligned with professional best practices.

Trusted Across Sectors

Trusted by professionals and institutions across public and private sectors.

Flexible Delivery

Training courses delivered within Saudi Arabia and across international locations.

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Frequently Asked Question

No. Saudi GLOMACS delivers courses in Saudi Arabia and internationally, including delivery across Europe and Asia. This allows organisations and professionals to access training both locally and abroad.

No. While governance and leadership are part of the portfolio, Saudi GLOMACS delivers training across the entire business and professional lifecycle, including administrative, technical, legal, regulatory, and sector-specific training.

No. Our training courses are delivered globally through international locations and online platforms, enabling participants from Saudi Arabia and around the world to learn together. This global delivery approach ensures exposure to diverse perspectives, international best practices, and cross-cultural insights while maintaining strong relevance to regional and organisational needs.

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Yes. Saudi GLOMACS designs and delivers bespoke in-house training tailored to organisational objectives, sector requirements, and workforce needs. Training can be delivered in Saudi Arabia or internationally, depending on requirements.

Yes, in-house and customised strategy training courses are available to support organisations seeking tailored strategic capability development. These courses can be aligned with your industry context, organisational challenges, and long-term strategic objectives.

For further details or to discuss customisation requirements, you may call or WhatsApp +966 (54) 286 8546 or email [email protected] . You can also submit a detailed enquiry through our in-house training page at: https://sa.glomacs.com/in-house-seminars

If you would like further information about these training courses, our team is available to provide professional guidance and support. We are pleased to assist with course selection, the registration process, and any other related enquiries.

For personalised assistance or detailed enquiries, please contact our team on +966 (54) 286 8546 or email us at [email protected]

Courses delivered in Saudi Arabia are adapted to reflect local regulatory frameworks, organisational structures, sector conditions, and professional expectations. This ensures training is relevant, practical, and aligned with Saudi workplace realities.

GLOMACS has been delivering professional training for over thirty years, with courses delivered across Europe, the Middle East, Asia, and other international markets.

Saudi GLOMACS combines three decades of global training experience with a clear focus on Saudi market relevance. This allows it to deliver training that is both internationally credible and locally applicable, across a broader range of disciplines than niche or single-focus providers.

Saudi GLOMACS is a Saudi-based professional training provider delivering courses tailored to the Saudi market and applicable internationally. It operates within the global GLOMACS framework and draws on more than three decades of international training experience.

Saudi GLOMACS offers professional training across a wide range of disciplines, including administration, leadership and management, governance and regulation, law, oil and gas, energy, engineering, finance, digital technologies, and sector-specific specialisations.

Training supports professionals across all career stages, from operational roles to specialist and senior responsibilities.

Participants include professionals from public sector, semi-government, and private sector organisations, across a wide range of roles and industries. Attendees range from administrative and operational professionals to technical specialists, managers, and senior decision-makers.

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