Compliance and Ethical Standards in Organizations
Course ID: 260413 0101 079ESH
Course Dates : 13/04/2026 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: ESHub CPD & 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 how to make compliance and ethics work in day-to-day operations. You will learn how to identify legal and regulatory obligations, assess risk, and set up practical controls. The course covers policy design, investigations, reporting, monitoring, and corrective action. Sessions use real examples and hands-on exercises to connect rules to decisions people make on the job.
Objectives
1. Map applicable laws, regulations, and industry standards to specific business activities.
2. Design or revise a compliance program with clear roles, policies, and escalation paths.
3. Perform risk-based compliance assessments and prioritize controls.
4. Lead or coordinate internal investigations and document corrective actions.
5. Establish monitoring, reporting, and KPI processes to detect issues and support continuous improvement.
2. Design or revise a compliance program with clear roles, policies, and escalation paths.
3. Perform risk-based compliance assessments and prioritize controls.
4. Lead or coordinate internal investigations and document corrective actions.
5. Establish monitoring, reporting, and KPI processes to detect issues and support continuous improvement.
Who Should Attend
1. Chief Compliance Officer / Head of Compliance
2. Compliance Manager or Officer
3. In-house Counsel / Legal Counsel
4. HR Manager or HR Business Partner responsible for conduct and discipline
5. Line or Operations Managers (department heads responsible for implementing controls)
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 – Foundations of Compliance and Ethical Standards
1. Principles of Corporate Compliance
- Purpose of compliance programmes
- Legal, regulatory and ethical responsibilities
- Building a culture of compliance
2. Regulatory Frameworks and Standards
- Identifying applicable laws and regulations
- Industry-specific compliance requirements
- International standards and best practices
3. Governance and Accountability
- Roles and responsibilities
- Leadership commitment
- Compliance governance structures
Day 2 – Compliance Risk Assessment
1. Identifying Compliance Risks
- Regulatory risk identification
- Operational compliance risks
- Ethical risk assessment
2. Risk Evaluation and Prioritisation
- Assessing likelihood and impact
- Risk ranking methodologies
- Prioritising compliance activities
3. Designing Internal Controls
- Preventive controls
- Detective controls
- Corrective controls
Day 3 – Policies, Procedures and Investigations
1. Developing Compliance Policies
- Writing effective policies
- Standard operating procedures
- Policy communication and implementation
2. Managing Compliance Incidents
- Receiving and documenting reports
- Escalation procedures
- Incident response planning
3. Internal Investigations
- Investigation planning
- Evidence collection and documentation
- Reporting investigation findings
Day 4 – Monitoring, Reporting and Continuous Improvement
1. Compliance Monitoring
- Compliance monitoring techniques
- Internal compliance reviews
- Control effectiveness assessments
2. Compliance Reporting
- Management reporting
- Regulatory reporting requirements
- Compliance dashboards and KPIs
3. Corrective and Preventive Actions
- Root cause analysis
- Corrective action planning
- Continuous improvement processes
Day 5 – Practical Compliance Management Workshop
1. Compliance Programme Design
- Mapping regulatory obligations
- Building a compliance framework
- Defining governance responsibilities
2. Risk Assessment and Investigation Simulation
- Conducting a compliance risk assessment
- Managing a compliance investigation
- Developing corrective action plans
3. Implementation Planning
- Creating a compliance improvement roadmap
- Defining KPIs and reporting schedules
- Course review, feedback and implementation planning
