Ethics and Compliance Programme Management (AGRC-062) Training Course

Ethics and Compliance Programme Management

An effective ethics and compliance programme helps an organisation prevent, detect and respond to misconduct, comply with laws and regulations and build trust with…

5 daysClassroom or online

49Upcoming dates

12Cities

£2,250Fees from

Course overview

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

Course outline

1Day 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

2Day 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

3Day 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

4Day 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

5Day 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

Frequently asked questions

How long is the Ethics and Compliance Programme Management course?

The course runs over 5 days of classroom training, usually Monday to Friday.

When is the next Ethics and Compliance Programme Management course?

The next public date is 7 - 11 Dec 2026 in Frankfurt. There are 49 upcoming dates in total.

Where is this course held?

Upcoming sessions run in Frankfurt, London, Barcelona, Dubai, Geneva, Istanbul, Kuala Lumpur, Madrid, Paris, Rome, Amsterdam, Cape Town.

Can I take Ethics and Compliance Programme Management online?

Yes. Every date can also be joined live online in a virtual classroom with the trainer, for £1,280 per participant. Choose "Live online" in the dates table when you register.

How much does the course cost?

Fees start from £2,250 per delegate, depending on the city. Fees include tuition and course materials.

Do participants receive a certificate?

Yes. Delegates who complete the course receive a London Leadership Management Innovation certificate of completion.

Can this course be delivered in-house for our team?

Yes. LLMI can tailor and deliver this course privately for your organisation at your premises or in one of our training cities.

Course information last updated 14 November 2026.

Ethics and Compliance Programme Management

Course overview

Introduction

Course Objectives

Target Audience

Training Methodology

Target Competencies

Course outline

Dates and fees

Frequently asked questions

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