Corporate Compliance and Legal Risk Management Training Course

Participants can convert applicable legal requirements into an owned and maintained obligation register.

• Sources of obligations: laws, regulations, licences, contracts and codes
• Legal horizon scanning for proposed rules and regulatory guidance
• Obligation registers linking requirements, owners, controls and evidence
• Classifying mandatory duties, voluntary commitments and internal policy requirements
• Interpreting applicability by legal entity, activity, jurisdiction and product
• Change-control workflow for updates to obligations and related controls

Participants can assess legal and compliance risks using defined criteria, evidence and documented judgement.

• ISO 31000 risk process applied to legal and compliance exposure
• Risk statements structured through cause, event and consequence
• Inherent risk scoring before controls and management interventions
• Residual risk assessment after evaluating control design and operation
• Likelihood and impact criteria calibrated for regulatory and legal outcomes
• Documenting assumptions, evidence gaps and uncertainty within risk assessments

Participants can set meaningful tolerance thresholds and escalation routes for compliance risks.

• Risk appetite statements for legal, conduct and regulatory exposures
• Tolerance thresholds linked to breaches, losses and reporting deadlines
• Escalation triggers for suspected misconduct, regulatory breach and control failure
• Defining red, amber and green thresholds for compliance indicators
• Exception management records, approvals and time-bound corrective actions
• Aligning risk acceptance authority with delegated decision-making limits

Participants can design controls that address root causes and generate reliable evidence.

• Preventive, detective and corrective controls matched to risk causes
• Control objectives written as specific, testable risk reduction statements
• Designing approvals, segregation of duties and system access restrictions
• Evidence standards for control performance, review and exception handling
• Control frequency, population coverage and accountable control owners
• Linking policy requirements to procedures, controls and retained records

Participants can plan and document proportionate testing of compliance control design and operation.

• Walkthroughs tracing transactions from obligation through control evidence
• Testing design effectiveness against stated control objectives and risks
• Operating effectiveness samples selected using risk-based sampling rationale
• Documenting deficiencies, root causes, compensating controls and implications
• Issue ratings based on severity, recurrence and regulatory consequence
• Assurance mapping across first-line reviews, compliance monitoring and audit

Participants can assess and treat bribery and corruption risks in business relationships and transactions.

• ISO 37001 anti-bribery controls and management system requirements
• Bribery risk indicators within sales, procurement, permits and donations
• Gifts, hospitality and travel approval thresholds with recorded business purpose
• Facilitation payment prohibitions, emergency exceptions and reporting procedures
• Charitable contributions and sponsorships screened for improper influence
• Books-and-records controls supporting accurate payment descriptions and approvals

Participants can identify sanctions and financial-crime control points within commercial and payment processes.

• Sanctions screening for customers, suppliers, beneficial owners and transactions
• Restricted-party lists, adverse media checks and documented disposition decisions
• Export control classification, end-use review and licence escalation
• Red flags for money laundering, fraud and trade-based financial crime
• Payment controls for high-risk jurisdictions, currencies and intermediaries
• Case management records supporting suspicious activity escalation decisions

Participants can apply risk-based due diligence and lifecycle controls to third parties.

• Third-party segmentation using service, geography, spend and government interaction
• Due diligence questionnaires, ownership checks and adverse media research
• Risk ratings determining approval levels and enhanced review requirements
• Contract clauses covering audit rights, compliance commitments and termination
• Ongoing monitoring for ownership changes, allegations and sanctions matches
• Offboarding controls addressing access, records, payments and continuing obligations

Participants can identify competition-law risk scenarios and establish practical preventive controls.

• Competition-law risks in pricing, bids, market allocation and information exchange
• Trade association protocols for agendas, attendance and meeting records
• Bid-rigging red flags within tendering, subcontracting and supplier communications
• Dawn raid response roles, document preservation and legal escalation
• Commercial data safeguards for competitor-sensitive pricing and market information
• Fair trading controls for product claims, promotions and customer communications

Participants can integrate privacy and information-handling obligations into risk and control processes.

• Personal data inventories identifying collection, use, sharing and retention
• Privacy impact assessments for high-risk processing and system changes
• Lawful basis, consent records and data-subject rights administration
• Data minimisation controls, retention schedules and secure disposal requirements
• Processor due diligence and data processing agreement control clauses
• Incident triage, breach assessment and notification decision records

Participants can design channels and response processes that support protected reporting and fair treatment.

• Speak-up channels offering confidentiality, anonymity and accessible reporting routes
• Intake protocols capturing allegations, immediate risks and reporter preferences
• Non-retaliation controls, monitoring indicators and protected disclosure records
• Triage criteria for investigations, management action and external reporting
• Case confidentiality boundaries, need-to-know access and record security
• Trend analysis identifying recurring misconduct themes and control weaknesses

Participants can scope, conduct and report internal investigations with procedural discipline.

• Investigation scoping: allegations, questions, jurisdiction and immediate protective measures
• Independence assessments identifying conflicts, reporting lines and investigator competence
• Evidence preservation notices, document collection and chain-of-custody records
• Interview plans covering sequencing, questioning techniques and contemporaneous notes
• Findings assessed against facts, policies, legal standards and available evidence
• Investigation reports separating findings, conclusions, actions and unresolved matters

Participants can coordinate a controlled response to compliance incidents and regulator contact.

• Incident classification by legal impact, urgency, affected parties and reporting duty
• Response teams assigning legal, compliance, operational and communications responsibilities
• Decision logs recording material judgements, advice and escalation outcomes
• Regulatory notification assessments using deadlines, content and approval requirements
• Privilege considerations and document handling under direction of legal counsel
• Post-incident reviews converting findings into corrective action plans

Participants can establish policy governance and evidence-based compliance communication controls.

• Policy hierarchy distinguishing principles, policies, standards, procedures and guidance
• Drafting requirements that specify scope, prohibited conduct and mandatory actions
• Policy ownership, approval routes, review cycles and version control
• Targeted training plans based on role, risk exposure and control responsibility
• Attestation processes documenting acknowledgement, conflicts and annual declarations
• Communication testing through knowledge checks, feedback and conduct indicators

Participants can build monitoring plans and indicators that identify control deterioration early.

• Compliance monitoring plans aligned with risk ratings and control frequency
• Key risk indicators measuring exposure, exceptions, timeliness and recurring issues
• Key control indicators tracking completion, quality and overdue remediation
• Data quality checks for completeness, accuracy, timeliness and traceability
• Trend analysis separating isolated events from systemic control deterioration
• Monitoring reports assigning actions, owners, due dates and validation evidence

Participants can prepare concise compliance reporting that supports informed board and committee decisions.

• Board reports connecting legal risks, controls, incidents and management actions
• Risk dashboards showing appetite status, trends, breaches and remediation progress
• Materiality assessments determining matters requiring committee or board escalation
• Narrative reporting explaining root causes, decisions and residual exposure
• Management information packs tailored for executives, committees and control owners
• Meeting minutes documenting challenge, decisions, actions and accepted risks

Participants can prioritise remediation and assess whether a compliance programme remains fit for purpose.

• Root cause analysis using five whys and fishbone diagrams
• Remediation plans defining actions, owners, milestones and closure evidence
• Prioritising corrective actions through impact, urgency and dependency analysis
• Validating closure through retesting, independent review and evidence inspection
• Annual compliance programme reviews against ISO 37301 requirements
• Management review inputs covering performance, resources, changes and improvement opportunities

Participants can build, review and present a complete compliance and legal risk management programme for a defined organisation.

• Define organisational scope, legal entities, activities and priority obligations
• Build an obligation register with accountable owners and evidence sources
• Assess priority legal risks using inherent and residual risk criteria
• Design controls, monitoring indicators and escalation thresholds for material risks
• Prepare third-party, speak-up, investigation and incident-response governance arrangements
• Present board reporting, remediation priorities and programme implementation roadmap