Compliance Assurance: Monitoring, Audits and Regulatory Reporting

How a gambling licensee proves, day to day, that it complies. The course covers the obligations register and the three lines model, the risk-based compliance monitoring programme from test script to validated closure, regulatory returns, key event notification and the data quality behind them, the main kinds of audit and certification (internal, statutory, regulator-mandated, information security, game and RNG testing, AML independent audits), how regulator compliance assessments work and the behaviour that helps and hurts, enforcement, settlements, remediation and lookbacks, and the board reporting, independence, resourcing and culture that make assurance real.

Written for compliance officers, MLROs, heads of compliance and personal licence holders, internal auditors, and the finance, risk and technology people who prepare returns, face audits and own controls. It assumes you know the rules in your area; the subject courses on AML, responsible gambling and marketing compliance cover those.

Great Britain is the worked example throughout, because its licence conditions, enforcement process and outcomes are published in unusual detail, with comparisons from Malta, Ontario, the Netherlands, Spain, New Jersey and Pennsylvania. Every jurisdiction-specific statement is dated and sourced, and the method is built to transfer to any regulator.