A self-paced career track for IT, audit, risk and operations professionals who want to move into a compliance manager role. Seven lessons cover what compliance managers do, regulations and control frameworks, designing a compliance programme, policies and control ownership, monitoring and testing, working with auditors and assessors, managing third parties, and reporting to leadership while planning your career. It builds skills and does not promise a job, salary, promotion or certification outcome, and it is not legal advice.
What you will learn
- Describe the role and responsibilities of a compliance manager
- Identify the regulations and frameworks that apply to an organisation
- Design a risk-based compliance programme
- Write policies and assign control ownership
- Plan control monitoring and testing
- Prepare for and support audits and assessments
- Manage third-party compliance and report to leadership
Lessons
- The Compliance Manager Role
- Regulations and Frameworks
- Designing the Compliance Programme
- Policies and Control Ownership
- Monitoring and Testing Controls
- Audits, Assessments and Third Parties
- Reporting and Career Planning
Self-paced course from Tech Skills Library. Educational content only; it is not an accredited qualification, licence or credential.
Lessons
The Compliance Manager Role
Regulations and Frameworks
Types of obligation Laws and regulations, such as data protection and sector-specific rules. Contractual requirements, such as payment card security standards required by banks, or customer security clauses. Voluntary frameworks adopted to demonstrate good practice. Common frameworks Information security management standards, cybersecurity frameworks, service organisation control reporting frameworks used for assurance reports, and privacy frameworks. […]
Designing the Compliance Programme
Risk-based approach Focus effort on obligations with the highest risk of non-compliance and the most serious consequences. Programme elements Governance: roles, committee and escalation. Obligations register and control framework. Policies and training. Monitoring and testing. Issue management and remediation. Reporting. Continuous improvement. Annual plan Schedule policy reviews, control testing, training, audits and reports across the […]
Policies and Control Ownership
Policy hierarchy Policies state principles and requirements; standards define specific rules; procedures describe how tasks are done. Writing good policies Keep them short, clear and enforceable. State scope, roles, requirements, exceptions and review dates. Get formal approval. Control ownership Every control needs an owner responsible for operating it and producing evidence. Owners are usually in […]
Monitoring and Testing Controls
Monitoring Ongoing checks by control owners and compliance, such as dashboards of overdue access reviews. Testing Periodic assessment of whether controls are designed correctly and operating effectively. Select samples, examine evidence and record results. Automation Automated evidence collection from systems reduces manual effort and improves reliability. Issue management Record deficiencies with severity, owner, remediation plan […]
Audits, Assessments and Third Parties
Preparing for audits Agree scope and timelines, prepare evidence in advance, brief control owners and coordinate requests. During the audit Respond accurately and promptly, provide only requested evidence and escalate disagreements early. After the audit Agree findings and remediation plans with owners and track them. Third parties Suppliers processing data or operating services on your […]
Reporting and Career Planning
Reporting Report to leadership on compliance status, key risks, open issues, overdue remediation, upcoming regulatory changes and resources needed. Use clear language and trends. Building credibility Be practical, explain the business reasons for requirements and help teams find workable solutions. Career development Build experience in control testing, policy writing and audit coordination. Consider recognised professional […]