Regulatory Compliance Monitoring and Testing (AGRC-035) Training Course

Regulatory Compliance Monitoring and Testing

Compliance monitoring and testing provide evidence that controls are working and regulatory obligations are met. Regulators expect a risk-based, documented monitoring…

5 daysClassroom or online

13Upcoming dates

8Cities

£2,750Fees from

Course overview

Why Attend

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 LLMI 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.

Course 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

Target Audience

Compliance officers

Compliance monitoring and testing teams

Risk managers

Internal auditors

Operations managers in regulated firms

Quality assurance staff

Course Methodology

Programme design workshop

Test script exercises

Case studies

Analytics lab

Group discussions

Course outline

1Day 1: Monitoring Programmes

Purpose of monitoring
Regulatory expectations
Monitoring versus audit
Programme components
Governance
Exercise: Programme review

2Day 2: Risk-Based Planning

Compliance risk assessment
Prioritisation
Annual plans
Resources
Coverage
Workshop: Monitoring plan

3Day 3: Test Design

Test objectives
Test scripts
Sampling
Evidence
Analytics
Exercise: Writing test scripts

4Day 4: Issues Management

Rating issues
Root causes
Action plans
Tracking
Escalation
Case study: Compliance breach

5Day 5: Reporting

Reporting to management
Board reporting
Trends
Coordination with audit
Improvement
Capstone: Monitoring programme

Frequently asked questions

How long is the Regulatory Compliance Monitoring and Testing course?

The course runs over 5 days of classroom training, usually Monday to Friday.

When is the next Regulatory Compliance Monitoring and Testing course?

The next public date is 21 - 25 Dec 2026 in Paris. There are 13 upcoming dates in total.

Where is this course held?

Upcoming sessions run in Paris, Rome, Geneva, Amsterdam, London, Istanbul, Cape Town, Barcelona.

Can I take Regulatory Compliance Monitoring and Testing online?

Yes. Every date can also be joined live online in a virtual classroom with the trainer, for £1,280 per participant. Choose "Live online" in the dates table when you register.

How much does the course cost?

Fees start from £2,750 per delegate, depending on the city. Fees include tuition and course materials.

Do participants receive a certificate?

Yes. Delegates who complete the course receive a London Leadership Management Innovation certificate of completion.

Can this course be delivered in-house for our team?

Yes. LLMI can tailor and deliver this course privately for your organisation at your premises or in one of our training cities.

Course information last updated 14 November 2026.

Regulatory Compliance Monitoring and Testing

Course overview

Course outline

Dates and fees

Frequently asked questions

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