Insurance Broker Compliance & Regulatory Management Training Course

Course Overview

Learning Objectives

• By the end of the course, participants will be able to:
• Explain the fundamental principles of regulatory compliance in insurance brokerage.
• Analyze regulatory requirements affecting insurance brokers and intermediaries.
• Develop an integrated compliance and regulatory governance framework.
• Define management, compliance, operational, and oversight responsibilities.
• Assess legal, regulatory, operational, financial, and reputational compliance risks.
• Develop practical compliance policies and procedures for brokerage activities.
• Strengthen transparency, disclosure, and client protection practices.
• Identify and manage conflicts of interest and conduct risks.
• Establish appropriate controls over commissions, remuneration, and commercial arrangements.
• Strengthen client records, documentation, and information management.
• Apply effective mechanisms for complaints management and escalation.
• Assess fraud and financial crime risks and apply appropriate controls where applicable.
• Develop ongoing compliance monitoring and testing programs.
• Prepare effectively for regulatory examinations, audits, and supervisory reviews.
• Manage compliance breaches and develop appropriate corrective actions.
• Establish a framework for continuous improvement in regulatory compliance and governance.

Who Should Attend

Learning Outcomes

• By the end of the course, participants will be able to:
• Map the regulatory requirements applicable to insurance brokerage activities.
• Assess the maturity and effectiveness of an organization's compliance framework.
• Develop a regulatory risk matrix and establish compliance priorities.
• Design clear and practical compliance policies and procedures.
• Define responsibilities across management, compliance, operations, and control functions.
• Evaluate disclosure, transparency, and client protection practices.
• Identify conflicts of interest and establish appropriate mitigation controls.
• Assess commission, remuneration, and commercial arrangement controls.
• Develop effective complaints management and escalation procedures.
• Strengthen client documentation, records, confidentiality, and data controls.
• Evaluate fraud and financial crime controls in accordance with applicable requirements.
• Establish compliance monitoring and periodic testing programs.
• Manage regulatory breaches and corrective action plans.
• Prepare evidence and documentation for regulatory examinations and audits.
• Develop meaningful compliance reporting for senior management and relevant stakeholders.
• Build a continuous improvement roadmap for regulatory governance and compliance.

Course Outline