AI-Enhanced Compliance Manager
AI-enhanced management training from DU&T Consulting.
Course overview
This course equips compliance managers to use artificial intelligence to improve regulatory research, obligation mapping, policy management, monitoring, investigations and reporting. It emphasises traceable evidence, professional scepticism and accountable human decisions.
Participants learn to use AI efficiently while managing confidentiality, privilege, data protection, bias and the risk of inaccurate or outdated information. No programming experience is required.
Learning objectives
- Identify appropriate AI applications across the compliance lifecycle.
- Use AI-assisted research while checking authority, currency and jurisdiction.
- Support obligation registers, policies, procedures and control mapping.
- Improve compliance monitoring, testing and issue analysis.
- Strengthen case triage, investigation planning and reporting.
- Use compliance data to prepare clear management and board insights.
- Establish governance for confidentiality, accuracy and accountability.
- Develop a responsible compliance AI implementation plan.
Who should attend
Compliance Managers; Risk and Governance Managers; Regulatory Affairs professionals; Internal Control Managers; Ethics Officers; Data Protection and Information Governance professionals; Internal Auditors; and managers responsible for organisational compliance.
Course modules
Module 1: AI Fundamentals for Compliance
Capabilities, limitations and risk-based use cases; defining tasks that require qualified professional judgement.
Module 2: Regulatory Research and Horizon Scanning
Structuring research, comparing sources, tracking change and verifying authority, jurisdiction, effective dates and applicability.
Module 3: Obligations Policies and Controls
Supporting obligation registers, gap analysis, policy drafting, control mapping and version review with accountable approval.
Module 4: Monitoring Testing and Assurance
Designing monitoring questions, analysing exceptions, sampling information and documenting evidence without overstating conclusions.
Module 5: Case Management Investigations and Reporting
Supporting triage, chronologies, interview preparation and report structures while preserving fairness, confidentiality and privilege.
Module 6: Compliance Data Analytics and Management Information
Identifying patterns, interpreting indicators and preparing balanced reports for management and boards.
Module 7: Responsible AI Governance and Third Party Risk
Addressing privacy, security, bias, intellectual property, record retention, explainability, supplier due diligence and auditability.
Module 8: Implementation Change and Compliance Roadmap
Prioritising use cases, defining controls and competencies, piloting responsibly and reviewing effectiveness.
Training methodology
The course combines interactive presentations, live demonstrations, regulatory research exercises, compliance case studies and control-design workshops.
Participants use fictional or appropriately authorised information to test research, draft compliance materials and analyse monitoring results. Exercises require source verification, documented reasoning and human approval.
The course concludes with a compliance AI roadmap covering the priority use case, governance, evidence requirements, owners, training needs and success measures.