Introduction

Effective compliance is essential for ensuring that organisations operate within legal, regulatory, and ethical boundaries while protecting reputation and stakeholder trust. As regulatory expectations expand across industries, organisations require practical compliance structures that reflect their size, risk profile, and operating environment rather than generic, one-size-fits-all approaches.

The Compliance Essentials training course introduces the core principles, roles, and responsibilities that underpin effective compliance functions. It focuses on risk-based compliance, identification of key compliance areas, and the integration of compliance into broader governance and risk management frameworks. The course equips participants with the insight needed to design, review, or strengthen compliance arrangements that support ethical conduct, accountability, and sustainable performance.

Key focus areas include:

Key Learning Outcomes

At the end of this Compliance Essentials training course, participants will be able to:

Training Methodology

This Compliance Essentials training course combines structured instruction with case-based discussion and scenario analysis. Participants engage with realistic compliance challenges, group dialogue, and applied exercises to ensure that concepts translate into practical compliance oversight within their organisations.

Compliance Essentials

Who Should Attend?

This Compliance Essentials training course is ideal for:

  • Executives and board members responsible for compliance oversight
  • Internal auditors integrating compliance into assurance activities
  • Newly appointed compliance officers or managers
  • Corporate governance and GRC professionals
  • Legal advisors and corporate counsel
  • Company secretaries and regulatory affairs officers
  • Risk professionals supporting compliance integration
  • IT professionals involved in compliance and regulatory systems

Course Outline

Day 1

Introduction to Compliance, Fraud and Ethics

  • Definition and Importance of Compliance
  • Timeline – Important Milestones
  • The Role of Compliance in an Organization
  • Regulatory Compliance
  • The Role of Conventions and ‘Soft Laws’
  • Fraud
  • Ethics
Day 2

Risk-Based Approach to Compliance

  • Risk Management
  • Risk Appetite
  • Risk Identification
  • Risk Assessment
  • Risk Mapping
  • Mitigating Strategies
  • Monitoring and Reporting
  • Risk Classes
Day 3

Compliance Areas

  • Anti-Bribery and Corruption Compliance
  • Anti-Money Laundering Compliance
  • Counter-Terrorism Financing Compliance
  • Sanctions
  • Antitrust / Competition Law Compliance
  • Environmental, Social and Governance
  • Data Privacy and Information Security
Day 4

Structuring an Effective Compliance Program

  • Compliance Frameworks
  • Commitment by the Board and Senior Management
  • Program Design
  • Risk Identification and Assessment
  • Compliance Structure – Autonomy and Resources
  • Code of Conduct, Policies and Procedures
  • Training
  • Communication
Day 5

Compliance Culture

  • Whistleblowing
  • Investigations
  • Third-Party Due Diligence and Management
  • Auditing and Monitoring
  • Metrics and Key Performance Indicators
  • Compliance Culture

International Standards & Professional Alignment

Our training courses are aligned with internationally recognised professional standards and frameworks across leadership, strategy, finance, governance, risk, compliance, and audit. By integrating globally trusted models, we ensure learners develop practical, relevant, and industry-recognised capabilities.

Our trainings draw on leading international standards and professional frameworks, including ISO, ISACA, COSO, OECD, IIA, FATF, Basel, IFRS/ISSB, GRI, NIST, CPD, ILM and the OECD AI Principles. This alignment ensures consistency with global best practices across financial management, risk oversight, digital governance, sustainability, and strategic decision-making..

Designed in alignment with globally recognised professional bodies, our courses support continuous professional development, strengthen organisational capability, and provide clear pathways toward professional certifications valued worldwide.

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FAQs

This training course aims to provide a practical foundation for understanding compliance responsibilities and structuring effective compliance frameworks. 

Yes, the training course is designed to support both newcomers and professionals seeking to strengthen their compliance fundamentals. 

Yes, the training course emphasises risk identification, assessment, and prioritisation as the basis for effective compliance management. 

Yes, the training course aligns compliance practices with governance, ethics, and organisational accountability. 

Yes, the training course applies to a wide range of sectors and regulatory environments. 

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