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Compliance Officer Training Level 3 - CPD Accredited

Compliance Officer Training Level 3 Course Accredited by CPD | Full Tutor Support | Instant Result | No hidden fees

One Education


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£18 inc VAT (was £425)
Offer ends 10 December 2019
Study method
Online, self-paced
4 Hours
Access to content
12 Months
2 CPD points / hours
Additional info
  • Exam(s) / assessment(s) is included in price
  • Tutor is available to students

115 students purchased this course

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Ensure that your company is complying with its legal requirements and effectively oversee all procedures within the compliance department with the Compliance Officer Training Level 3 Course. This compliance certification covers all you need to know to guarantee that internal policies within an organisation are being met.

This training program covers all areas of compliance management, and compliance office responsibilities, with a detailed overview of the risk management process. You will explore the various types of compliance risks and the compliance risk framework. You will also earn how to carry out risk assessments, introduce an effective compliance program, and will develop essential problem-solving, and conflict-management skills.

This risk management certification is ideal for those who are new to the industry who require introductory knowledge and training.

Highlights of The Compliance Officer Training Level 3:

  • Develop the fundamental skills & knowledge to become a fully certified compliance officer
  • Be able to ensure that all staff are working in compliance with the law & are adhering to best practices
  • Explore the different types of compliance risk & the key functions of the compliance department
  • Develop your understanding of compliance management systems (CMS)
  • understand the key elements of an effective compliance program
  • Gain a complete overview of compliance risk framework & how to conduct a compliance risk assessment
  • Understand the importance of a compliance audit and how it is used to measure business performance
  • Be able to identify the differences between ethics and compliance

Course media


Course Curriculum

We’ve taken this comprehensive Compliance Officer Training Level 3 course and broken it down into 11 manageable modules which we believe will assist you to easily grasp each concept – from the fundamental to the most advanced aspects of the Compliance Skills. It really is a sure pathway to success.

This Compliance Officer Training Level 3 is designed with the following modules:

Compliance and Risk Management

Module 1: Introduction to Compliance

  • What is compliance?
  • Compliance governance
  • Benefits of compliance
  • Scope of Compliance Architectures Considerations
  • Compliance Department
  • Responsibility of the compliance department
  • Compliance Officer

Module 2: Compliance Management System

  • Compliance Management System of an enterprise
  • Strategy
  • Management
  • Monitoring
  • Oversight
  • Compliance as a challenge

Module 3: Basic Elements of Effective Compliance

  • Five basic elements
  • Compliance house
    • Commitment and responsibility
    • Structures
    • Processes
    • Incentives and sanctions
    • Auditing and development

Module 4: Compliance Audit

  • ISSAI Definitions
  • Compliance Audit in a public sector context
  • Internal vs External Audit
  • Importance of Compliance Auditing
  • What Auditors look for
  • Elements of Compliance Audit
  • Principles of Compliance Auditing
  • Compliance Audit Process

Module 5: Compliance and Ethics

  • Ethics vs Compliance
  • The Golden Rule
  • Values and Rules
  • Ethics and Compliance: Different sides of the same coin?
  • Ethics and Compliance Practitioners
  • Shared challenges
  • Conclusion

Module 6: Introduction to Risk and Basic Risk Types

  • What is Risk?
  • Risk Analysis
  • The basic Risk types

Module 7: Further Risk Types

  • Financial Risk and Knowledge Risk
  • External and Internal Risks
  • External Risk types
  • Internal Risk types
  • Speculative and Static Risks
  • Risk Interdependency

Module 8: Introduction to Risk Management

  • What is Risk Management?
  • Importance of Risk Management
  • Strategy
  • Principles of Risk Management
  • Risk Management Policy
  • Risk Management Challenges
  • Role of Human Resource Department (HRD) in Risk Management

Module 9: Risk Management Process

  • Overview of the Risk Management Processes
  • Five Processes of Risk Management
  • The Corporate Risk Management Strategy
  • Risk Communication, Risk Awareness and Consulting
  • Definition of Scope and Framework

Module 10: Risk Assessment and Risk Treatment

  • Risk Assessment
  • Identification of Risks
  • Analysis of Relevant Risks
  • Evaluation of Risks
  • Risk Treatment
  • Identification of Options
  • Development, Approval and Implementation of the Action Plan
  • Identification of Residual Risks
  • Risk Acceptance
  • Monitoring and Review
  • Confidentiality

Module 11: Types of Risk Management

  • Different Types of Risk Management
  • Bank Risk Management
  • Commodity Risk Management
  • Credit Risk Management
  • Enterprise Risk Management
  • Market Risk Management
  • Operational Risk Management
  • And more....

How is the Compliance Officer Training Level 3 course assessed?

To successfully complete the Compliance Officer Training Level 3 course you must pass an automated, multiple-choice assessment. The assessment is delivered through our online learning platform. You will receive the results of your assessment immediately upon completion.

Will I receive a certificate of completion?

Upon successful course completion, you will qualify for a CPD certificate from One Education as proof of your new skills. Certification is available in PDF format, at the cost of £9, or a hard copy can be sent to you via post, at the cost of £15.

Who is this course for?

Whether you’re an existing practitioner or aspiring professional, this Compliance Officer Training Level 3 course will enhance your expertise and boost your CV with key skills and an accredited qualification attesting to your knowledge.


This Compliance Officer Training Level 3 is compatible with all kinds of devices and the age requirement for this Compliance Officer Training Level 3 is 16. So, basically, everyone can take this course to acquire Compliance Officer Training Level 3 skills that are necessary.

Questions and answers

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