Event Details

Practical training course to understand and apply knowledge of compliance controls, control categorisation, effectiveness, efficiency and adequacy.

Course objectives:

To assist the learner:

• to define the term 'compliance control' in their own words, and understand how compliance controls feature in varying degrees across all the phases in the Compliance Risk Management Process (i.e. profile, Compliance Risk Management Plan (CRMP), monitoring, reporting phases);

• to provide an overview of the key attributes of a control (type, category, degree of automation, frequency) that should be included in the organisation's Standard Operating Procedures (SOPs) and CRMP;

• to use their understanding of control categories, types and levels of automation to provide value-adding advice to business on control enhancements and/or shifts in the control environment to ensure cost effectiveness and efficiency;

• to formulate robust compliance controls that will enhance the quality of CRMP's and ease the monitoring process;

• to use their knowledge of control attributes in compiling a CRMP; • to conduct the assessment of the Adequacy of a control and combination of controls to mitigate the risk of non-compliance to a provision of a compliance obligation by considering the efficiency, economy and existence of a control (practical methods and examples will be utilised);

• to conduct the Effectiveness of controls to mitigate the risk of non-compliance to a provision of a Compliance Obligation (practical examples will be utilised);

• to draft a control deficiency observation; and

• to determine the root cause for an observation.

Who should attend: We encourage Compliance Officers, Compliance Administrators and novices to compliance management or wanting to enter the compliance profession, or any other assurance provider from a combined assurance perspective to attend. The training programme would be ideal for those wishing to prepare for the Compliance Board Examinations, as it covers theoretical as well as practical aspects of the compliance control framework, especially as it relates to the CRMP and monitoring phases.



Member Early Bird rate: R 4,500 excl VAT / R5,1750 incl VAT

Member Standard rate: R6,000 excl VAT / R6,900 incl VAT

Non-member Early Bird rate: R 4,950 excl VAT / R5,693 incl VAT

Non-member Standard rate: R6,600 excl VAT / R7,590 incl VAT

Compliance Monitoring

Compliance Monitoring forms the final phase in the compliance risk management process. Monitoring closes the loop which completes the compliance cycle, it provides feedback on the effectiveness of the management of compliance risks and identifies areas of weakness that need to be improved or enhanced. It is therefore highly recommended that individuals should have completed the Introduction to Compliance Management and the Compliance Risk Management Plan courses before registering for the Compliance Monitoring course.

Course content will cover the following:

• Compliance Monitoring fits in as an element of the compliance process, a brief explanation of the compliance process and the development of Compliance Risk Management Plans (CRMPs).

• An overview of compliance monitoring, the need and objectives as well as consequences of noncompliance.

• Explaining the risk‐based compliance monitoring approach with controls.

• Types of Compliance Monitoring

• Monitoring Tools

• The Compliance Monitoring process

Outline of the Compliance Monitoring course:

• The methodology for the monitoring of compliance by regulators

• The methodology for compliance monitoring by management

• The methodology for compliance monitoring by the compliance officer

• The starting point of compliance monitoring

• Independent monitoring

• Effectivenessreviews

• Materiality Sampling

• Statisticalsampling and non-statisticalsampling

• Working papers

• The compliance reports

• Recommendations that should be addressed in the compliance report

• The review process and the relevant role players

• Issues Log

• The review process to evaluate the implementation of the Compliance Risk Management Plans throughout your organisation

Course Outline: https://docs.mymembership.co.za/docmanager/52c7b7c8-d6fc-4150-8d1a-7b85c1f7012e/00159665.pdf 


  • Gert Van Wyk (Director of ExGroup)

    Gert Van Wyk

    Director of ExGroup

    Gert is a Chartered Accountant ((CA (SA)), Certified Internal Auditor (CIA), Professional Internal Auditor (PIA), Certified in Risk Management Assurance (CRMA) and Compliance Professional (CPROF (SA)) and holds an M. Com degree. He has a wealth of experience (30 years) in the Governance, Risk and Compliance and Audit disciplines. He fulfilled various roles in his career e.g., Chief Audit Executive, Group Compliance Officer, Head of Operational Risk Management. He consults in the disciplines of Combined Assurance, Governance, Risk Management, Compliance and Internal Audit as Director of EXP Consulting Network.

    He was the Chairman of the Audit, Risk and Governance Committee of the Compliance Institute of South Africa (for the 14 years) and also the Chairperson of the Risk Committee of the South African Department of Home Affairs for a period of 3 years. He is a member of the South African Institute of Chartered Accountants, the Institute of Internal Auditors, and Compliance Institute of Southern Africa. He serves on the Examination Committee of the Institute of Internal Auditors and is a moderator of the Compliance Institute of Southern Africa’s CPRAC (SA) Board Exam.

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  • Lelanie Naude (CEO and Founder of Unique Life Empoerwerment)

    Lelanie Naude

    CEO and Founder of Unique Life Empoerwerment

    Lelanie holds 20 years of experience in the financial industry, of which 16 years have been spent in various compliance risk management roles across all lines of assurance, including that of Compliance Specialist at business unit, cluster and group levels, Compliance Project SME, Compliance Auditor, and Compliance Framework and Policy Specialist. She is at her happiest selling compliance as a business enabler, and is passionate about knowledge share and empowerment in the training space.

    In addition to a B.Com (Law) degree, she holds a post-graduate diploma in Compliance Risk Management, and has been awarded the C.Prac(SA) designation in 2016. She is also an accredited work experience assessor, and supports the Compliance Institute with work experience evaluations, board examination processes and young professional mentorship support. Her compliance qualifications are supplemented with various personal development accreditations, including an Education and Training Development Practitioner accreditation.

    In 2020 she founded an empowerment business, and now focusses her energy and attention on her passion for people development. Her focus largely relates to general personal development and self-empowerment offerings, however Compliance support to the compliance industry through means of Compliance Institute support, remains a key-contribution, together with private compliance consultation to smaller organisations with undeveloped compliance functions.

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Compliance Control Identification and Assessment - outline Mar 22.pdfdownload


Early Bird Member Rate

Early Bird Member Rate
*Closes 3 weeks prior to event date
*Prices are excluding VAT

Member Rate

Standard rate.
*Prices are excluding VAT

Member Price R 6,000
Early Bird Non Member Rate

Early Bird Non Member Rate
Early bird rate expires 3 weeks prior to event date
*Prices are excluding VAT

Non Member Rate

Non Member rate
*Prices are excluding VAT

Standard Price R 6,600