SKILL ROADMAP 69 · SPECIALISED LEGAL FIELDS

Regulatory Compliance

Compliance basics → Applicable laws → Compliance calendar → Policies → Audits → Compliance programme

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This roadmap has 6 steps, 3 checkpoints and 3 projects.
Open the interactive version to tick checkpoints and projects. Your progress is saved in your browser.

1 What this path is

Compliance professionals help organisations follow the laws that apply to them, through policies, monitoring and reporting.

The work involves organisation, attention to detail and close work with business teams.

Learn compliance basics.
Learn: why compliance matters and the risks of failure.
Practise: by analysing a well known compliance failure.
Identify applicable laws.
Learn: to list the laws that apply to one business, including company, labour, tax, data protection and sector laws.
Practise: by preparing a legal register for an imaginary company.
Build a compliance calendar.
Learn: filing and reporting deadlines.
Practise: by building a yearly calendar.
Draft policies.
Learn: codes of conduct, whistleblower policies and anti bribery policies.
Practise: by drafting one policy.
Learn audits.
Learn: how compliance audits are run.
Practise: by preparing an audit checklist.
Build a compliance programme.
Learn: training, monitoring and reporting.
Practise: by designing a programme for one company.

You lead compliance functions independently.

These checklists are for honest self assessment. They are not an official certification.

Company compliance teams, firms with regulatory practices and consulting firms.

Registers, calendars and policies.