Business Ethics - Compliance
Course ID: 260105 0101 858Proj
Course Dates : 05/01/2026 Course Duration : 5 Studying Day/s Course Location: London, United Kingdom
Language: Bilingual
Course Category: Professional and CPD Training Programs
Course Subcategories:
Business Decision Making Governance & Compliance Professional Practice & Standards Risk Management Strategic Management
Course Certified By: Projacs Academy & LondonUni - Executive Management Training
* Professional Training and CPD Programs
Leading to:
Executive Diploma Certificate
Leading to:
Executive Mini Masters Certificate
Leading to
Executive Masters Certificate
Certification Will Be Issued:
From London, United Kingdom
Course Fees:
VAT varies by course location and participant nationality.
Date has passed please contact us Sales@e-s-hub.com
Introduction
This five-day course teaches practical skills for building and sustaining an ethical, compliant business. Participants learn to spot compliance gaps, reduce legal risk, and respond to incidents. The curriculum covers laws, internal controls, investigations, and reporting. Emphasis is on usable tools and decision-making that work in real operations.
Objectives
1. Identify applicable legal and regulatory requirements and map them to business activities.
2. Design and document a risk-based compliance program, including policies, procedures, and controls.
3. Run and document workplace investigations and implement appropriate corrective actions.
4. Deliver targeted training and communications to promote ethical decision-making and policy adherence.
5. Measure program effectiveness with audits and metrics and prepare clear reports for senior management and regulators.
2. Design and document a risk-based compliance program, including policies, procedures, and controls.
3. Run and document workplace investigations and implement appropriate corrective actions.
4. Deliver targeted training and communications to promote ethical decision-making and policy adherence.
5. Measure program effectiveness with audits and metrics and prepare clear reports for senior management and regulators.
Who Should Attend
Compliance officers and managers
In-house legal counsel
Human resources managers responsible for conduct and policy
Procurement and supply chain managers
Finance managers and controllers responsible for transaction compliance
Training Method
• Pre-assessment
• Live group instruction
• Use of real-world examples, case studies and exercises
• Interactive participation and discussion
• Power point presentation, LCD and flip chart
• Group activities and tests
• Post-assessment
If Applicable:
• Each participant receives a 7” Tablet containing a copy of the presentation, slides and handouts
Program Support
This program is supported by:
* Interactive discussions
* Role-play
* Case studies and highlight the techniques available to the participants.
Course Agenda
Daily Schedule (Monday to Friday)
- 09:00 AM – 10:30 AM Technical Session 1
- 10:30 AM – 12:00 PM Technical Session 2
- 12:00 PM – 01:00 PM Technical Session 3
- 01:00 PM – 02:00 PM Lunch Break (If Applicable)
- Participants are expected to engage in guided self-study, reading, or personal reflection on the day’s content. This contributes toward the CPD accreditation and deepens conceptual understanding.
- 02:00 PM – 04:00 PM Self-Study & Reflection
Please Note:
- All training sessions are conducted from Monday to Friday, following the standard working week observed in the United Kingdom and European Union. Saturday and Sunday are official weekends and are not counted as part of the course duration.
- Coffee and refreshments are available on a floating basis throughout the morning. Participants may help themselves at their convenience to ensure an uninterrupted learning experience Provided if applicable and subject to course delivery arrangements.
- Lunch Provided if applicable and subject to course delivery arrangements.
Week 1
Day 1: Legal and Regulatory Mapping
Identifying applicable laws and regulations
A. Researching local, national, and international compliance requirements
B. Mapping regulatory obligations to specific business activities and departments
C. Documenting compliance gaps and potential legal exposure areas
Developing a compliance risk matrix
A. Assessing the likelihood and impact of compliance failures
B. Prioritizing risks based on severity and regulatory scrutiny
C. Assigning ownership for monitoring and mitigating identified risks
Establishing baseline compliance controls
A. Reviewing existing policies, procedures, and internal controls
B. Identifying weaknesses in current compliance frameworks
C. Drafting initial recommendations for control enhancements
Day 2: Designing the Compliance Program
Structuring the compliance framework
A. Defining the roles and responsibilities of the compliance function
B. Establishing clear reporting lines to senior management and the board
C. Creating a code of conduct and core compliance policies
Developing standard operating procedures (SOPs)
A. Writing clear, actionable procedures for high-risk activities
B. Integrating compliance checks into daily operational workflows
C. Ensuring procedures are accessible and understandable to all employees
Implementing communication and training plans
A. Designing targeted training modules for different employee groups
B. Developing communication strategies to promote a culture of compliance
C. Scheduling regular compliance awareness campaigns and updates
Day 3: Workplace Investigations and Corrective Actions
Planning and initiating investigations
A. Recognizing red flags and triggers for formal investigations
B. Securing evidence and maintaining chain of custody
C. Conducting fair, objective, and confidential interviews
Analyzing findings and determining root causes
A. Evaluating witness statements and documentary evidence
B. Identifying systemic issues versus isolated incidents
C. Documenting investigation findings in a clear, defensible report
Implementing corrective and preventive actions (CAPA)
A. Designing targeted interventions to address root causes
B. Assigning accountability and timelines for corrective actions
C. Monitoring the effectiveness of implemented corrective measures
Day 4: Monitoring, Auditing, and Reporting
Designing a compliance monitoring program
A. Selecting key compliance metrics and key risk indicators (KRIs)
B. Scheduling regular compliance audits and control testing
C. Utilizing data analytics to detect anomalous behavior or trends
Conducting internal compliance audits
A. Developing audit checklists based on regulatory requirements
B. Executing audit procedures and documenting findings
C. Communicating audit results to process owners and management
Preparing compliance reports for stakeholders
A. Drafting concise, executive-level compliance dashboards
B. Highlighting trends, emerging risks, and remediation progress
C. Ensuring reports meet regulatory and board-level disclosure standards
Day 5: Fostering an Ethical Culture and Continuous Improvement
Promoting ethical decision-making
A. Integrating ethics into performance evaluations and reward systems
B. Establishing safe, anonymous reporting channels (whistleblowing)
C. Protecting reporters from retaliation and ensuring follow-up
Managing third-party and supply chain compliance
A. Conducting due diligence on vendors, partners, and agents
B. Embedding compliance clauses into supplier contracts
C. Monitoring third-party performance and conducting periodic reviews
Reviewing and updating the compliance program
A. Conducting an annual comprehensive review of the compliance program
B. Adapting policies and procedures to reflect regulatory changes
C. Celebrating compliance successes to reinforce positive behavior
