Introduction

An effective compliance program is the foundation of an organization’s ability to adhere to laws, regulations, and ethical standards. This interactive workshop equips participants with the knowledge and skills to design, develop, and implement a comprehensive compliance program tailored to their organization’s needs. Through hands-on activities and real-world case studies, participants will gain practical experience in building compliance frameworks, policies, and procedures that foster accountability and mitigate risk.

Course Objectives

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

1. Understand the core components of an effective compliance program.
2. Conduct risk assessments to identify compliance vulnerabilities.
3. Develop policies, procedures, and controls to address compliance risks.
4. Create training and awareness programs to promote a culture of compliance.
5. Monitor, evaluate, and improve compliance program effectiveness.
6. Adapt compliance programs to emerging challenges and regulatory changes.

Who Should Attend?

This course is ideal for:

• Compliance officers and managers.
• Risk management and governance professionals.
• Internal auditors and legal advisors.
• HR professionals involved in compliance training and awareness programs.
• Business leaders responsible for organizational compliance.
• Consultants and advisors specializing in compliance program development.

5-Day Training Outline

Day 1: Foundations of Compliance Program Development

• What Is a Compliance Program? Importance and Benefits.
• Key Elements of an Effective Compliance Program (DOJ and ISO 37301 Standards).
• The Role of Leadership in Driving Compliance Program Success.
• Case Study: Successful Compliance Program Implementations Across Industries.

Day 2: Conducting Compliance Risk Assessments

• Identifying and Assessing Compliance Risks.
• Using Risk Registers and Heat Maps for Prioritization.
• Aligning Risk Assessments with Organizational Goals.
• Workshop: Conducting a Compliance Risk Assessment for a Hypothetical Organization.

Day 3: Developing Policies, Procedures, and Controls

• Crafting Clear and Effective Compliance Policies.
• Establishing Internal Controls to Mitigate Compliance Risks.
• Aligning Policies with Global Regulatory Standards (GDPR, FCPA, SOX).
• Practical Exercise: Drafting a Compliance Policy for a Selected Compliance Risk.

Day 4: Creating a Culture of Compliance and Monitoring Programs

• Training Employees and Raising Compliance Awareness.
• Using Communication Channels to Reinforce Compliance Expectations.
• Monitoring Compliance Program Effectiveness: KPIs and Dashboards.
• Role-Playing Activity: Delivering a Compliance Training Session for Employees.

Day 5: Evaluating and Adapting Compliance Programs

• Conducting Internal Audits and Reviews of Compliance Programs.
• Responding to Compliance Failures: Investigation and Remediation.
• Emerging Trends in Compliance: Technology, ESG, and Globalization.
• Capstone Activity: Developing a Comprehensive Compliance Program for a Case Study Organization.

Course Outcome

Participants will leave this workshop with a fully developed compliance program framework and actionable strategies to implement it effectively. They will gain hands-on experience in risk assessment, policy development, and monitoring techniques, ensuring their organization meets regulatory standards and fosters a culture of compliance. This training empowers professionals to build and maintain robust compliance programs that mitigate risks and drive organizational success.