Ethics and Compliance Programme Management

Introduction

An effective ethics and compliance programme helps an organisation prevent, detect and respond to misconduct, comply with laws and regulations and build trust with stakeholders. Regulators and prosecutors in many jurisdictions now evaluate the quality of a compliance programme when deciding on penalties, making programme effectiveness a strategic concern.

This Ethics and Compliance Programme Management training course covers the design, operation and evaluation of a complete programme. Participants learn about governance and independence of the compliance function, compliance risk assessment, codes of conduct, policies, training and communication, monitoring and testing, investigations and discipline, and reporting to the board.

The course draws on widely used guidance on evaluating compliance programmes and provides practical tools for building a programme that works in practice, not just on paper.

Course Objectives

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

• Explain the purpose and elements of an effective ethics and compliance programme
• Establish governance, authority and independence for the compliance function
• Conduct a compliance risk assessment
• Develop a code of conduct and supporting policies
• Design risk-based training and communication
• Implement monitoring, testing and auditing activities
• Manage investigations, discipline and remediation
• Measure programme effectiveness and report to the board

Target Audience

This training course is suitable for a wide range of professionals, including:

• Chief compliance officers and compliance managers
• Ethics officers
• Legal counsel
• Internal auditors
• Risk and governance professionals
• Managers establishing a compliance function

Training Methodology

The course combines guidance-based instruction with practical workshops. Participants assess a sample programme against recognised criteria, conduct a compliance risk assessment, draft a code of conduct section, design a training plan and build a compliance dashboard. Case studies explore programmes that failed and those that succeeded.

Target Competencies

• Compliance programme design
• Compliance risk assessment
• Policy and code development
• Training and communication planning
• Monitoring and testing
• Programme effectiveness evaluation

Day One: Foundations of Ethics and Compliance

• The business and legal case for ethics and compliance
• Elements of an effective compliance programme
• Regulatory guidance on evaluating compliance programmes
• Ethics versus compliance and why both matter
• Lessons from major compliance failures
• Maturity models for compliance programmes
• Self-assessment of your current programme

Day Two: Governance and Compliance Risk Assessment

• Board oversight and senior management responsibility
• Authority, resources and independence of compliance
• Relationships with legal, risk and internal audit
• Compliance risk identification and regulatory mapping
• Assessing and prioritising compliance risks
• Using risk assessment to plan the programme
• Workshop: conducting a compliance risk assessment

Day Three: Code of Conduct, Policies and Training

• Designing a clear and engaging code of conduct
• Policy framework, ownership and accessibility
• Risk-based compliance training design
• Communication campaigns and manager messaging
• Annual certifications and policy attestations by staff
• Incentives and recognition for ethical behaviour
• Workshop: designing a training and communication plan

Day Four: Monitoring, Investigations and Discipline

• Compliance monitoring and testing programmes
• Using data analytics for compliance monitoring
• Speak-up channels and protection from retaliation
• Conducting and overseeing internal investigations
• Consistent discipline and remediation
• Root cause analysis after misconduct
• Case study: responding to a compliance breach

Day Five: Measuring Effectiveness and Reporting

• Indicators of an effective compliance programme
• Compliance dashboards and board reporting
• Independent review and audit of the programme
• Managing third-party and mergers and acquisitions compliance
• Continuous improvement and programme roadmaps
• Building an ethical culture that lasts
• Personal action plan for compliance programme management