By the end of the course, participants will be able to:

• Define key compliance concepts and frameworks in a corporate setting
• Conduct risk identification, assessment, and treatment in compliance contexts
• Implement and manage an effective compliance program within an organization
• Evaluate the challenges and success factors in compliance management
• Align auditing practices with organizational policies and regulatory requirements

• Senior managers overseeing compliance and ethics programs
• Compliance officers and managers
• Internal and external auditors
• HR professionals involved in regulatory training and standards enforcement

Module 1: Overview of Compliance

• Definition of compliance
• Compliance framework and standards
• Compliance rule definitions

Module 2: Features of Effective Compliance Activities

• Integration into business workflow
• Coordination with assurance activities
• Burden and integration assessment

Module 3: Compliance Risk Management Approach

• Prioritizing compliance activities
• Actioning regulatory updates
• Business impact assessments

Module 4: Compliance Risk Analysis Steps

• Identifying and assessing risks
• Evaluating and treating compliance risks
• Monitoring and corrective actions

Module 5: Scope of a Compliance Programme

• Policy and procedure development
• Training and communication
• Misconduct oversight

Module 6: Challenges in Compliance Management

• Overcoming compliance silos
• Addressing outdated systems
• Implementing automated monitoring

Module 7: Elements of an Effective Compliance Programme

• Audit committees and governance
• Communication lines and monitoring
• Periodic assessments

Module 8: Factors Impacting Compliance Management

• Board and management dynamics
• Risk culture and tolerance
• Organizational structure

Module 9: Importance of Compliance Programmes

• Enhancing risk visibility
• Promoting ethical culture
• Strengthening accountability

Module 10: Responsibilities of Compliance Programs

• Legal and regulatory obligations
• Internal controls and fiduciary duties
• Organizational policy enforcement

The course combines various teaching methods, including instructor-led presentations, group discussions, case study analyses, and assessments through quizzes and a final exam to engage participants and ensure they understand and retain the material.