Corporate Ethics and Compliance Training Course

Participants can translate external obligations into a structured compliance management system.

• Obligation registers linking laws, licences, contracts, policies and accountable owners
• ISO 37301 requirements for risk-based compliance management systems
• DOJ Evaluation criteria for well-designed compliance programmes and enforcement
• Regulatory change management from horizon scanning through control updates
• Applying legal privilege boundaries when seeking internal investigation advice
• Escalation thresholds for suspected breaches, notifications and voluntary disclosures

Participants can conduct and document a risk-based assessment of priority compliance exposures.

• Risk universe construction across bribery, fraud, conduct, competition and privacy
• ISO 31000 likelihood and consequence scales calibrated to actual exposure
• Inherent and residual risk scoring with documented control assumptions
• Heat maps challenged for aggregation bias, velocity and interdependencies
• Control effectiveness testing using design and operating effectiveness criteria
• Risk appetite statements translated into escalation triggers and treatment plans

Participants can identify fraud risk scenarios and specify proportionate preventive and detective controls.

• Fraud risk assessment using fraud triangle, scenarios and control gaps
• Segregation-of-duties conflicts identified through process maps and access data
• Procurement fraud indicators covering bid rigging, kickbacks and split purchases
• Expense claim analytics detecting duplicate, excessive and unsupported reimbursements
• Whistleblower allegations assessed against evidence, motive and corroborating records
• Fraud response protocols coordinating compliance, finance, legal and internal audit

Participants can create policy structures that state expected conduct and support consistent enforcement.

• Code of conduct architecture covering values, rules, examples and consequences
• Policy hierarchy distinguishing mandatory standards, procedures, guidance and local addenda
• Plain-language drafting that defines prohibited conduct, approvals and reporting routes
• RACI matrices assigning policy ownership, approval, communication and review duties
• Exception management logs recording rationale, authority, duration and compensating controls
• Version control and attestation records supporting policy defensibility

Participants can establish controls for conflicts, gifts, hospitality and related-party decisions.

• Conflict-of-interest declarations mapped to procurement, hiring, investments and board roles
• Related-party transaction review using independence, disclosure and approval tests
• Gifts, hospitality and travel thresholds set through risk-based criteria
• Register design capturing giver, recipient, value, purpose and approvals
• Recusal protocols for conflicted directors, managers and selection-panel members
• Personal trading restrictions, blackout periods and insider-list controls

Participants can design anti-bribery controls for high-risk transactions and government interactions.

• ISO 37001 anti-bribery management system requirements and control objectives
• Bribery red flags in public procurement, permits and customs dealings
• Facilitation payment decisions governed by safety exceptions and documentation
• Approval workflows for charitable donations, sponsorships and political contributions
• Books-and-records controls preventing concealed payments and false accounting entries
• Investigating suspected bribery while preserving evidence and confidentiality

Participants can apply risk-based third-party due diligence and ongoing monitoring controls.

• Third-party segmentation by geography, service, payment flow and government touchpoints
• Due diligence questionnaires verified against beneficial ownership and sanctions data
• Risk-based screening of agents, distributors, consultants and joint-venture partners
• Contract clauses covering audit rights, certifications, termination and training
• Payment controls matching invoices, deliverables, bank accounts and approvals
• Ongoing monitoring triggers from adverse media, ownership changes and performance anomalies

Participants can plan confidential reporting, allegation triage and fair internal investigations.

• Speak-up channel design addressing anonymity, accessibility, retaliation and data protection
• Intake triage using severity, credibility, urgency and conflict criteria
• Investigation plans defining allegations, scope, evidence sources and milestones
• Interview sequencing, question funnels and contemporaneous note-taking protocols
• Chain-of-custody records for documents, devices and digital evidence
• Findings reports separating facts, analysis, conclusions and remediation recommendations

Participants can link compliance risks to controls, test evidence and track corrective actions.

• COSO Internal Control components applied to ethics and compliance controls
• Control matrices linking risks, objectives, activities, evidence and owners
• Preventive, detective and corrective controls selected by failure mode
• Sample testing plans using population definition, selection and exception criteria
• Root-cause analysis using five whys, fishbone diagrams and control breakdowns
• Management action plans with accountable owners, deadlines and validation evidence

Participants can specify monitoring activities and indicators that identify emerging misconduct risks.

• Continuous monitoring rules targeting duplicate payments, override approvals and unusual vendors
• Case management taxonomies categorising allegations, outcomes, themes and recurrence patterns
• Data quality checks validating completeness, timeliness, ownership and source reliability
• Dashboard design separating operational alerts from board-level risk indicators
• Alert thresholds calibrated against baseline activity, materiality and investigative capacity
• Human review protocols reducing false positives and inconsistent case classification

Participants can manage compliance information while protecting privacy, confidentiality and evidence integrity.

• Data privacy governance roles under GDPR accountability and minimisation principles
• Records retention schedules balancing legal holds, privacy and investigation needs
• Access controls for case files, hotline data and sensitive disclosures
• Cross-border data transfers assessed through lawful basis and safeguards
• Information barriers protecting confidential reports from inappropriate internal access
• Incident response handoffs between compliance, legal, security and communications

Participants can plan culture interventions that reinforce ethical conduct and reporting confidence.

• Compliance training needs analysis by role, risk exposure and control duties
• Behavioural ethics techniques addressing rationalisation, pressure and diffusion of responsibility
• Scenario-based communications reinforcing reporting expectations and manager responsibilities
• Manager toolkits for difficult conversations, escalation and non-retaliation commitments
• Culture indicators drawn from surveys, turnover, reports and disciplinary data
• Incentive reviews identifying targets that reward misconduct or discourage reporting

Participants can prepare meaningful compliance reporting for executives, committees and boards.

• Board reporting packs distinguishing leading indicators, lagging indicators and case trends
• Key risk indicators aligned with risk appetite and escalation thresholds
• Compliance dashboards showing overdue actions, training completion and control failures
• Materiality criteria for board notification of investigations and regulatory contact
• Committee minutes recording challenge, decisions, recusals and follow-up actions
• Assurance maps coordinating compliance, risk, internal audit and external assurance

Participants can plan proportionate remediation and communicate effectively during significant compliance incidents.

• Remediation plans prioritised by harm, recurrence risk, regulatory exposure and feasibility
• CAPA methodology defining corrective actions, preventive actions and effectiveness checks
• Disciplinary frameworks applying consistency, proportionality, due process and documentation
• Self-disclosure decisions assessed against timing, cooperation and evidential certainty
• Regulator engagement plans assigning spokespersons, messages, records and approvals
• Post-incident reviews converting findings into policy, control and training changes

Participants can assess ethics risks arising from supply chains, labour practices and ESG claims.

• Human rights due diligence using UN Guiding Principles risk concepts
• Modern slavery risk assessment across recruitment, suppliers and labour brokers
• Responsible sourcing controls for minerals, labour conditions and grievance access
• Supplier remediation plans addressing findings, deadlines, support and verification
• ESG claims governance preventing misleading statements and unsupported disclosures
• Grievance mechanisms assessed for accessibility, confidentiality, fairness and remediation

Participants can recognise and escalate competition, sanctions and trade compliance concerns.

• Competition-law conduct risks in trade associations, pricing and information exchanges
• Dawn raid protocols covering document preservation, legal support and staff conduct
• Sanctions screening triggers for customers, vendors, owners and payment counterparties
• Export-control classifications linked to products, destinations, end users and licences
• Restricted-party escalation routes for potential matches and ownership concerns
• Trade compliance records supporting licensing decisions, screening and audit trails

Participants can plan compliance due diligence and post-transaction integration activities.

• Pre-acquisition compliance due diligence covering bribery, sanctions, fraud and investigations
• Red-flag reports distinguishing deal risks, remediation costs and transaction conditions
• Day-one controls for reporting channels, delegations, payments and high-risk third parties
• Integration plans harmonising policies, training, records and disciplinary standards
• Legacy issue registers assigning ownership, milestones and disclosure decisions
• Post-acquisition testing confirming control adoption and remediation effectiveness

Participants can establish an operating model that sustains compliance programme performance and independent review.

• Compliance programme charter defining mandate, independence, authority and resources
• Annual compliance plan sequenced by risk, control maturity and regulatory deadlines
• Three Lines Model roles clarified for management, compliance and internal audit
• ISO 37301 performance evaluation through monitoring, measurement and management review
• Independent assurance scopes testing programme design, implementation and operating effectiveness
• Budget cases linking proposed controls to risk reduction and obligations

Participants can build, review and present a complete risk-based ethics and compliance programme for a defined organisation.

• Programme scope established from organisational profile, obligations and risk appetite
• Risk assessment findings converted into prioritised controls and treatment actions
• Code, third-party and speak-up measures integrated into programme design
• Metrics, assurance activities and board reporting scheduled across twelve months
• Implementation roadmap assigns owners, milestones, resources and escalation points
• Peer review tests defensibility against ISO 37301 and stakeholder challenge
• Executive presentation communicates priorities, decisions required and residual risks