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Compliance and Risk Management Fundamentals

Learn how to identify the variety of compliance and enterprise risks, undertake a risk assessment and develop strategies for reducing risk, monitoring risks and implementing risk control. This program examines the context in which risk exists and provides participants with techniques for treating and mitigating risks.

About this course

Considering both positive and negative risks, the program includes taking advantage of opportunities to support organisations in developing mature and strategic approach to risk management and compliance. 

Ideal for Corporate Counsel or other business leaders who need to contribute to the enterprise’s strategic direction, possess relevant knowledge and a full understanding of “risk”, and be the “authority” for assessment: separating the compliance function from this strategic assessment and mitigation process. 

Through this program, participants will be provided with a comprehensive overview of compliance and enterprise risk management. The program demonstrates the practical application of the ISO:31000 risk management process and the ISO:19600 standard for compliance.


Seven CPD units (one unit per hour)

Course structure


  • Aligning compliance and enterprise risk management
  • Recognising and dealing with fragmentation of the functions
  • The evolving roles of risk and compliance officers and managers



  • An overview of ISO:31000 Risk Management Process and ISO:19600 Compliance Standards
  • Key elements of each standard
  • How to embed and ensure effective interaction between the functions



  • Example case study of a practical application of ISO:31000 and ISO:19600



  • Technology and trends in compliance and enterprise risk management


Learning outcomes

  • Understand the context in which risk exists
  • Identify compliance and enterprise risks
  • Develop strategies for reducing, monitoring and controlling risk
  • Understand techniques for treating and mitigating risks



A discount of 10% is available to UTS Alumni or UTS Staff enrolling in this short course. If you’re eligible for this discount, please ensure you have provided your UTS Student or Staff ID number in your UTS Open Profile (under ‘A bit about you’).

When signing up for the Session, use the relevant voucher code to apply the discount to your Cart:

  • UTS Student / Alumni: Lawalumni
  • UTS Staff: Lstaff

Please note that there’s a limit of one discount rate per participant.

Who is this course for?

This program is particularly useful for:

  • General legal practitioners
  • Senior managers and leadership teams
  • In-house legal teams
  • Corporate counsel
  • Executives negotiating mergers and acquisitions
  • C Suite leadership team
  • Human resources managers and staff
  • Change managers


10 March




1 days

Meet the Expert

Richard Walker

Richard Walker
BEc, MSAFAA, MAITD, GAICD, Principal, AcademyGlobal

Richard has 30 years’ experience in senior management roles across risk, operations and compliance in leading global institutions. His roles have included Managing Director, Global Head of Equities, National Australia Bank and Head of Risk and COO, AOT Australia Limited.


Richard has a depth of practical experience including Responsible Executive and Responsible Manager roles and board roles on public unlisted and private companies. He has written and delivered bespoke training programs for clients drawn from corporate, government and financial services sectors in Australia, South East Asia and the Middle East resulting in rapid knowledge transfer.


Richard holds a Bachelor of Economics from the University of Sydney; a Certificate IV in Training and Assessment; a Diploma of Project Management; a Diploma in Financial Services; and an Advanced Diploma of Financial Licensing Management. He is also a Member of the Australian Institute of Training and Development and a Graduate of the Australian Institute of Company Directors.


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Additional Information

Please arrive at 8:30 am for registration. Morning tea will be provided for seminar participants. Disclaimer: While it is the Faculty's intention to provide this program as advertised, UTS reserves the right to alter the program, or to cancel this seminar should the minimum enrolment quota not be met. Please note that all registrations are governed by UTS Short Courses & Conferences’

Book a session

08:45 AM, Tuesday, 10 March
Expert: Richard Walker
  • Tuesday, 10 March
  • 1 days
  • On-campus
  • 8:45am - 5pm, 10 March 2020 | UTS Building 10, Level 7: 235 Jones St, Ultimo NSW 2007

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