Compliance Officer

FREE PDF Certificate | Audio Visual Learning | 10 CPD Points | Assessment Included | Tutor Support | 1 Year Access



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£10 inc VAT (RRP £317)
Offer ends 31 October 2020
Study method
Online, self-paced
6 hours
Access to content
1 year
No formal qualification
10 CPD hours / points
Additional info
  • Exam(s) / assessment(s) is included in price
  • Tutor is available to students

43 students purchased this course

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The Compliance Officer is a wonderful learning opportunity for anyone who has a passion for this topic and is interested in enjoying a long career in the relevant industry. It’s also for anyone who is already working in this field and looking to brush up their knowledge and boost their career with a recognised certification.

This Compliance Officer consists of several modules that take around 6 hours to complete. The course is accompanied by instructional videos, helpful illustrations, how-to instructions and advice.

The course is offered online at a very affordable price. That gives you the ability to study at your own pace in the comfort of your home. You can access the modules from anywhere and from any device.


10 CPD hours / points
Accredited by CPD Accreditation Group

Course media


Why choose this course

  • Earn a free e-certificate upon successful completion.
  • Accessible, informative modules taught by expert instructors
  • Study in your own time, at your own pace, through your computer tablet or mobile device
  • Benefit from instant feedback through mock exams and multiple-choice assessments
  • Get 24/7 help or advice from our email and live chat teams
  • Full Tutor Support on Weekdays

Course Design

The course is delivered through our online learning platform, accessible through any internet-connected device. There are no formal deadlines or teaching schedules, meaning you are free to study the course at your own pace.

You are taught through a combination of

  • Video lessons
  • Online study materials
  • Mock exams
  • Multiple-choice assessment

********** Course Modules***********

**Compliance Officer**

Module 1: Introduction to Compliance

  • What Is Compliance?
  • Definition of GRC.
  • Benefits of Compliance
  • Compliance Department
  • Responsibility of The Compliance Department
  • Compliance As A Challenge
  • Summary / Keynotes Of The Module

Module 2: Five basic elements of compliance

  • Five Basic Elements of Compliance
  • Compliance House
  • Policy And Code of Conduct
  • The Structure of The Compliance Organization
  • Compliance Processes
  • Incentives and Sanctions
  • Auditing and Development
  • Summary / Keynotes of the Module

Module 3: Compliance Management System (CMS)

  • Introduction to Compliance Management System
  • Elements of CMS
    • Board and Management Oversight
      • Key actions of Board and management
      • Compliance Committee
      • Compliance Officer
      • The roles and responsibilities of a Compliance Officer/Auditor
  • Compliance Program
      • Policies and procedures
      • Training
      • Monitoring and/or Audit
      • Consumer complaint response
  • Why is a CMS Important?
  • Summary / Keynotes of the Module

Module 4: Compliance Audit

  • What is ISSAI?
  • Definition of An Audit
  • Compliance Audit in a Public Sector Context
  • Elements of Compliance Audit
  • Principles of Compliance Auditing
    • Quality Control
    • Audit team management and skills
    • Audit Risk
    • Materiality
    • Documentation
    • Communication
  • Compliance Audit Process
  • What Auditors Look for in Different Audits
    • Financial Audit
    • Performance audit
    • Compliance audit
  • Summary / Keynotes of the Module

Module 5: Compliance and Ethics

  • Ethics And Compliance: Conceptual Differences
  • The Golden Rule
  • Values And Rules
  • Ethics and Compliance: Different Sides of the Same Coin?
  • Responsibilities of Ethics And Compliance Practitioners
  • Shared Challenges
  • Summary / Keynotes of the Module

Module 6: Risk and Types of Risk

  • What Is Risk?
  • Nature of Risk
  • Classification of Risk
  • Types of Pure Risk
  • Financial Risk
  • Different Types Of Financial Risk
  • Summary / Keynotes of the Module

Module 7- Introduction to Risk Management

  • What is Risk Management?
  • History of Risk Management and its Concepts
  • Objectives of Risk Management
  • Risk Management Standards
  • Principles of Risk Management
  • Risk Management Strategy
  • Risk Management Policy
  • Summary / Keynotes of the Module

Module 8: Risk Management Process

  • Identify The Risk
  • Analyse The Risk
  • Risk Evaluation
  • Treat The Risk
  • Monitor And Review The Risk
  • Summary / Keynotes Of The Module


Upon successful completion of the course, you will be able to obtain your course completion PDF certificate free of cost. Print copy by post is also available at an additional cost of £9.99.

Who is this course for?

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


The Compliance Officer is open to all, with no formal entry requirements. All you need is a passion for learning, a good understanding of the English language, numeracy and IT, and to be over the age of 16.

Questions and answers

No questions or answers found containing ''.

Gemma asked:

Is the exam at the end of the course also free? Thank you


Hi Gemma, Good afternoon. There is no additional exam fee needed. Exams are included with the course price. Stay Safe.

This was helpful. Thank you for your feedback.


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What does study method mean?

Study method describes the format in which the course will be delivered. At courses are delivered in a number of ways, including online courses, where the course content can be accessed online remotely, and classroom courses, where courses are delivered in person at a classroom venue.

What are CPD hours/points?

CPD stands for Continuing Professional Development. If you work in certain professions or for certain companies, your employer may require you to complete a number of CPD hours or points, per year. You can find a range of CPD courses on, many of which can be completed online.

What is a ‘regulated qualification’?

A regulated qualification is delivered by a learning institution which is regulated by a government body. In England, the government body which regulates courses is Ofqual. Ofqual regulated qualifications sit on the Regulated Qualifications Framework (RQF), which can help students understand how different qualifications in different fields compare to each other. The framework also helps students to understand what qualifications they need to progress towards a higher learning goal, such as a university degree or equivalent higher education award.

What is an ‘endorsed’ course?

An endorsed course is a skills based course which has been checked over and approved by an independent awarding body. Endorsed courses are not regulated so do not result in a qualification - however, the student can usually purchase a certificate showing the awarding body’s logo if they wish. Certain awarding bodies - such as ABC Awards and TQUK - have developed endorsement schemes as a way to help students select the best skills based courses for them.


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