Compliance Operations
For compliance and control owners: turn policy language into a testable control with an owner, evidence, frequency, trigger and exception path.
Free module
Complete module 1 without creating an account
The complete content is available on this page.
Start module 1 freeComplete and no account required · Compliance Operations
Module 1 · complete and free
Compliance Operations
It opens here, with no account or page change.
About this course
This course is for compliance analysts and control owners turning requirements into operations. You will break policy statements into testable controls, assign ownership and evidence, define testing and triggers, and draft a specification that auditors, engineers and process teams can interpret consistently. This module teaches you how to transform an abstract policy requirement into a concrete, operational control. You will learn the anatomy of a control, how to assign ownership, define evidence and testing frequency, and handle exceptions. By the end, you will be able to draft a control specification that auditors, engineers, and business owners can all work with. This module walks you through the operational reality of Know Your Customer (KYC) and Anti-Money Laundering (AML) work. You will learn how to run evidence checks on customer files, spot and document gaps in documentation, and escalate risk decisions through a clear paper trail. The focus is on universal operational patterns, not on jurisdiction-specific thresholds or numerical limits, which vary by country and firm. This module teaches you how to work a monitoring case from the moment an alert lands in your queue to the moment you close it with a defensible written narrative. You will practice separating meaningful signal from noise, gathering the right evidence, and documenting your reasoning so another analyst could reach the same conclusion. By the end, you will have a repeatable workflow you can apply to any transaction, sanctions, or fraud alert. This module connects fraud detection signals with operational risk management in a compliance context. You will learn how to spot red flags, document incidents, and design controls that both contain damage and prevent recurrence. By the end, you will be able to translate suspicious activity into concrete, auditable action. This module teaches you how to assemble a control test pack that will stand up to internal and external audit scrutiny. You will learn to define scope, select samples, gather evidence, document exceptions, and assign remediation owners. By the end, you will have a repeatable framework for producing evidence that auditors can review without back-and-forth.
What you'll learn
- Break down a policy statement into one or more testable controls
- Define the five core attributes of an operational control: owner, evidence, frequency, trigger, and exception path
- Draft a control specification that is auditable and unambiguous
- Recognize common failure modes when controls are poorly translated from policy
- Run a structured evidence check on a customer file using a repeatable checklist
- Identify and document gaps or inconsistencies in KYC documentation with clear audit language
- Escalate risk decisions to the correct owner using a defensible rationale, without inventing thresholds
How access works
Start 1 course for free. Upgrade when you're ready to unlock the rest.
1 course free
Start one Academy course immediately. No credit card required. Test Academy before committing.
Start freeFull course + every Academy tool
All modules, certificate on completion, career coach, interview prep and unlimited course generation — across every course.
See Premium+ plansOther courses you might like
Account Management Fundamentals
For account managers taking over a client relationship: turn handover notes into a clear account brief, credible next steps and a communication rhythm.
Accounting Fundamentals
Build a sound accounting habit from the start: learn how transactions change assets, liabilities and equity, then record them with clear double-entry logic.
Administrative Management
For administrators and team coordinators: build a filing system people can follow, with clear folders, consistent names and one reliable version of every document.