ICA Certified Head of Compliance
The role of the Head of Compliance is highly complex with personal accountability. Written by experienced senior practitioners, this certification provides an engaging and interactive learning experience, supported by practical tools to empower you to deliver the role effectively and to demonstrate your competence to the regulator.
- Navigate the role – understand the key responsibilities and unique challenges of this complex senior function (SMF16)
- Regulatory policies and frameworks – through practical examples, discover best practice about robust corporate governance and how to embed workable solutions in your business
- Stakeholders – enhance your skill set to manage relationships with boards and regulators effectively
- Decision-making – gain the tools to build your confidence, make informed decisions, and withstand challenge
- Networking - share experiences and insights with fellow Heads of Compliance
ICA CPD Hours: 50
Qualification designation: Cert.Prac(HeadComp)
Learning Outcomes
What will I learn?
This certification covers:
- Key responsibilities of a Head of Compliance role
- First 90 days
- Regulatory policies, procedures and standards
- Oversight Framework
- Management and influence of business stakeholders
- Cultivating a culture of compliance
- Building and maintaining effective relationships with regulators
- Personal confidence and resilience
Entry Requirements & Format
Is this course right for me?
This highly interactive and practical course has been designed for senior individuals who are new to the role of Head of Compliance or Chief Compliance Officer (SMF16), or where this is their next step.
The course is based on the UK Financial Conduct Authority’s requirements. Students from other jurisdictions are eligible for the course, subject to the experiential requirements below, as the core skills you will develop are transferable to any jurisdiction.
You will need to have a good standard of spoken and written English for this course and either ONE of the following to be eligible for the course:
- Currently hold the role of Head of Compliance or Chief Compliance Officer (SMF16) (or jurisdictional equivalent)
OR
- Professionals aspiring to work in a Head of Compliance role and have completed the ICA Diploma in Governance, Risk and Compliance or equivalent.
Course Format
Study over 9 weeks via a mix of online study and live, virtual classrooms delivered by industry experts:
- 8 x virtual classrooms
- 1 x live Immersive Scenario and Group facilitated discussion
- Assessed by a reflective journal and a written assignment, which must be submitted within two weeks of the facilitated discussion
Benefits, Eligibility & Tutors
Become an ICA member
When you enrol onto this course you will join an international community of over 30,000 members. Benefits include:
- Access to the uniquely personalised ICA Learning Hub
- Weekly webinars covering the latest industry developments
- Discounts on ICA events and further ICA courses
- The fee for ICA membership will be added separately to your basket when you enrol online for this course.
Course Tutors:
Rosalind Dixon-Burnett
Global Lead of GRC
Roz joined the ICA in 2024, leaving her role as Head of Compliance for a rapidly growing asset management firm where she held both SMF 16 (Compliance Oversight) and SMF17 (MLRO) senior management positions.
She brings over 26 years of financial services experience, working across all three lines of defence in risk, compliance and internal audit roles, and has led a variety of successful risk and regulatory change programmes, as well as designing, implementing and embedding highly successful (and commercially valuable) operational risk, compliance and internal audit functions within FS firms of varying size and maturity.
Eligibility
Check eligibility for this course by completing our enquiry form
