Description

A focused course, tailored for you

Regulatory Mapping for Global Financial Services Associates

Turn multi-jurisdiction compliance obligations into a working control register your team actually uses.

A Senior Associate carrying regulatory obligations across APRA, FCA, SEC, and MAS produces artefacts for each desk separately. The control register that results is three versions behind by the time an internal audit cycles through it.

$199 one-time

Tailored to your situation. Access within 24 hours. 30-day money-back.

Includes a hand-built implementation playbook delivered alongside course access, generated for your specific situation.

Why this course

Global financial services groups run their compliance function across multiple regulatory regimes simultaneously. A deal or product that touches Australia (APRA CPS 234, APRA CPS 511), the UK (FCA SYSC, FCA COBS), and the US (SEC, OCC Heightened Standards) requires an associate who can read each regime's obligation language and translate it into a single control register without losing the jurisdiction-specific nuance.

Most associates learn this by watching someone else do it once and then reverse-engineering the output. The result is control registers that are structurally inconsistent across desks, gap analyses that can't be reconciled with each other, and audit prep that turns into a three-week manual exercise every time a standard updates.

The skill is learnable. It involves reading obligation text, decomposing it into testable control statements, tagging each control to the regime that requires it, and building a mapping layer that lets your audit team query by jurisdiction or by control domain without re-engineering the register.

What you walk away with

Build a multi-jurisdiction regulatory obligation map that spans APRA, FCA, MAS, and SEC within a single control framework.
Decompose obligation text from each regime into testable control statements a compliance team can audit against.
Construct a gap analysis template that produces consistent output regardless of which jurisdiction triggered the review.
Produce a control register structure that survives standard revisions without requiring a full rebuild.
Create audit-ready documentation that your internal audit team can query by jurisdiction, by control domain, or by business unit.
Communicate regulatory risk to senior stakeholders using a standard format that works across desks and geographies.

The 12 modules

Module 1. How Regulatory Obligation Language Works

Most associates read obligation text the way they read a contract. Regulatory language has a different structure: it specifies conditions, entities, outcomes, and timelines in ways that need to be decomposed before they become testable controls. This module covers the anatomy of an obligation statement across APRA, FCA, and SEC source documents, showing how the same underlying requirement is expressed differently in each regime and what that means for mapping.

Module 2. The Control Statement: Writing What Audit Can Test

A control register is only as useful as the control statements inside it. Vague statements like 'the firm maintains appropriate records' cannot be audited. This module teaches the structure of a testable control statement: the specific action, the responsible party, the frequency or trigger, the evidence artefact, and the applicable regime. You will write ten control statements from source obligation text, with worked examples from APRA CPS 234 and FCA SYSC 10A.

Module 3. Building the Obligation-to-Control Mapping Layer

The mapping layer is the bridge between regulatory text and the control register. This module covers how to structure that layer so that a single control can satisfy obligations from multiple regimes without duplicating rows. You will build a mapping template that tags each control to the regime, the specific obligation reference, and the business unit it applies to, producing a structure that survives jurisdiction-by-jurisdiction queries from your audit team.

Module 4. APRA Obligations: CPS 234, CPS 511, and SPS 530

APRA's prudential standards use obligation language specific to Australian ADIs, insurers, and superannuation funds. This module works through the key obligations in CPS 234 (information security), CPS 511 (remuneration), and SPS 530 (investment governance), showing how each obligation decomposes into control statements and what evidence artefacts APRA expects to see during a supervisory review. Module includes a completed obligation map for CPS 234 Part 3.

Module 5. FCA Obligations: SYSC, COBS, and MAR

FCA obligation language in SYSC (senior management arrangements), COBS (conduct of business), and MAR (market conduct) follows a principles-plus-rules structure that is different from APRA's prescriptive format. This module covers how to read FCA rules and guidance together, how to identify the testable obligation underneath the principle, and how to map FCA SYSC 10A (conflicts of interest) and MAR 5 (algorithmic trading) into the same control register framework used for APRA.

Module 6. SEC and OCC Obligations for Internationally Active Firms

For firms with US-registered entities, SEC investment adviser rules (Advisers Act, Form ADV), OCC Heightened Standards, and FINRA supervision requirements add a third register layer. This module covers the US obligation set that most commonly surfaces in cross-border compliance reviews, how to express SEC and OCC obligations as testable control statements, and how to manage the jurisdictional conflict when an FCA obligation and an SEC obligation require different evidence for the same underlying control.

Module 7. MAS and Cross-Border APAC Obligations

MAS Technology Risk Management guidelines and MAS Notice SFA 04-N02 (risk management) are the entry point for Singapore-regulated entities. This module adds MAS to the multi-jurisdiction register, covering the key MAS TRM obligations, how they compare to APRA CPS 234 in structure and intent, and how to build a single technology risk control register that satisfies both without producing two parallel documents. Includes a completed MAS-APRA overlap analysis template.

Module 8. Gap Analysis That Produces Actionable Output

A gap analysis that concludes 'partially compliant' is not actionable. This module covers the structure of a gap analysis that outputs a prioritised remediation list: each gap mapped to the obligation it breaches, the control that is missing or deficient, the business unit responsible, and the estimated effort to close. You will complete a gap analysis using the multi-jurisdiction register built in earlier modules, producing a document your compliance team can hand directly to a remediation owner.

Module 9. Control Register Maintenance: Handling Standard Updates

Regulatory standards update on a cycle. APRA revised CPS 234 and FCA significantly amended SYSC with PS21/3. When a standard updates, a poorly structured register requires a full rebuild. This module covers how to design the register's mapping layer so that a standard revision triggers a targeted update rather than a structural overhaul, including versioning conventions, impact assessment templates, and a change-log format that satisfies internal audit requirements.

Module 10. Audit-Ready Documentation: What Internal Audit Actually Wants

Internal audit at a global financial services firm is looking for specific artefacts: control descriptions with obligation references, evidence of periodic testing, exception logs with remediation timelines, and a clear line from obligation text to the control that satisfies it. This module covers how to structure the control register and supporting documentation so that the annual internal audit does not require a three-week manual preparation exercise. Includes a document pack checklist used by a Big4 financial services audit team.

Module 11. Stakeholder Communication: Presenting Regulatory Risk Across Desks

A Senior Associate presenting regulatory risk to a London desk, a Sydney business unit head, and a New York legal team needs one format that adapts to each audience. This module covers how to build a regulatory risk summary for senior management, a register extract for internal audit, and a jurisdiction-specific gap list for the desk compliance officer, without rebuilding from scratch for each. Worked examples from a cross-border deal review.

Module 12. Implementation Playbook: Building Your First Multi-Jurisdiction Register

The final module is a step-by-step build of a multi-jurisdiction control register for a realistic scenario: a product that touches APRA (ADI), FCA (SYSC), and MAS (TRM). You will complete the obligation decomposition, write the control statements, build the mapping layer, run a gap analysis, and produce an audit-ready document pack. The hand-built implementation playbook delivered with course access extends this to your specific product mix and regulatory footprint.

How this addresses your situation

Specific modules that map to what you said you are dealing with.

Modules 1-3 address the foundational skill gap: most associates can read regulatory text but cannot decompose it into a testable control register. These modules build that translation capability.

Modules 4-7 cover the four regulatory regimes most commonly active in a globally active financial services group: APRA, FCA, SEC/OCC, and MAS. Each module produces a completed obligation map and worked examples.

Modules 8-9 address the operational maintenance problem: gap analysis that produces actionable output and a register structure that survives standard revisions without a full rebuild.

Modules 10-12 address the audit and communication layer: producing documentation that internal audit can use directly, communicating regulatory risk across desks, and completing a full multi-jurisdiction register build in the implementation playbook.

What you get with this course

Twelve written modules with worked examples from APRA CPS 234, FCA SYSC, SEC Advisers Act, and MAS TRM
Downloadable templates: obligation decomposition worksheet, control statement builder, mapping layer template, gap analysis output template, and audit-ready document pack checklist
Completed obligation maps for APRA CPS 234 Part 3, FCA SYSC 10A, and MAS TRM Chapter 7
Hand-built implementation playbook tailored to your specific product mix and regulatory footprint, delivered alongside course access

What you will have in hand by Day 1, Week 1, Month 1

Course access and implementation playbook provisioned within 24 hours of purchase

Self-paced: most associates complete the twelve modules over two to four weeks while running their current workload

Downloadable templates are available from module one; you can apply them to a live obligation mapping task immediately

Before and after

Before

Each regulatory review cycle requires a manual reconciliation exercise across jurisdiction-specific spreadsheets that are structurally inconsistent with each other. Gap analyses conclude 'partially compliant' without producing a prioritised remediation list. Internal audit prep takes three weeks.

After

A single multi-jurisdiction control register that spans APRA, FCA, MAS, and SEC, structured so that a standard revision triggers a targeted update rather than a full rebuild. Gap analyses produce a prioritised remediation list with obligation references and responsible owners. Audit documentation is ready to hand over without a preparation sprint.

What happens if you do not address this

Regulatory standards across all four major regimes are actively updating. An associate who cannot build and maintain a multi-jurisdiction control register will continue to produce compliance artefacts that are structurally inconsistent across desks, cannot survive a standard revision cycle, and require senior compliance staff to manually reconcile before they are audit-ready. The manual reconciliation cost grows with each jurisdiction added.

Who it is for

Senior Associates and Associates in investment banking, asset management, or advisory roles at global financial services groups who are responsible for regulatory compliance artefacts across two or more jurisdictions and who need to produce control registers, gap analyses, and audit-ready documentation without a dedicated regulatory architecture team sitting alongside them.

Who this is NOT for. Compliance officers whose entire scope is a single domestic regulatory regime. Legal counsel who review final documents but do not build the underlying mapping. Technology or operations associates whose regulatory exposure is limited to one internal system.

How it arrives

Text-based course in the Art of Service learning environment, plus downloadable templates and worked examples for every module, plus the hand-built implementation playbook delivered alongside course access.

Time investment. Approximately 8-12 hours total across twelve modules. Each module is designed to be completed in a single sitting of 45-60 minutes. Templates can be used on active work from module one onward.

Why $199 is the right number

The alternative is a Big4 regulatory mapping engagement, which costs upward of $50,000 AUD for a single jurisdiction review and produces a document your team cannot maintain without the consulting firm. Internal training programmes at global financial services groups cover regulatory awareness, not the mapping and documentation skill. This course teaches the skill directly, at a price a Senior Associate can expense without a procurement process.

FAQ

Does the course cover APRA specifically or is it generic compliance content?

Modules 4 and 9 work directly from APRA CPS 234 and CPS 511 obligation text, with completed obligation maps and worked examples. The mapping framework in modules 1-3 is built to handle APRA's prescriptive format alongside FCA's principles-plus-rules structure.

How is the implementation playbook tailored to my situation?

When you purchase, you receive a short intake form asking about your regulatory footprint (which regimes, which product types, which business units). The playbook is hand-built to those specifics and delivered alongside course access within 24 hours.

Will this help me with APRA CPS 511 as well as CPS 234?

Yes. Module 4 covers CPS 234, CPS 511, and SPS 530. The obligation decomposition method taught in modules 1-3 applies to all three, and the mapping templates are built to handle the different obligation structures across each standard.

Can I use the templates on a live piece of work straight away?

The templates are designed to be used on active work from module one onward. You do not need to complete all twelve modules before the obligation decomposition worksheet and control statement builder are useful.

30-day money-back guarantee. If after a week of working through the materials this is not what you needed, reply to the receipt email and a full refund is processed. No questions, no forms.

Within 24 hours your account in the learning environment is provisioned and the tailored implementation playbook is delivered alongside it.