Corporate Governance - Compliance
Course ID: 260420 0101 087ESH
Course Dates : 20/04/2026 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 shows how governance and compliance work together to reduce legal, financial, and reputational risk. It covers board duties, regulatory requirements, and practical controls you can use immediately. The program uses recent enforcement examples and cross-border issues to highlight common failure points. Sessions combine case studies, templates, and hands-on exercises for real-world application.
Objectives
1. Map applicable governance codes, statutes, and regulator guidance to your organisation’s structure and processes.
2. Design and document a board-level governance framework, including charters, committee terms of reference, and escalation paths.
3. Develop and implement a compliance programme: policies, monitoring, investigations, remediation and training plans.
4. Produce clear compliance reporting for executives and the board, with KPIs, dashboards and escalation triggers.
5. Manage third-party and conflict-of-interest risk through due diligence, contractual controls and ongoing monitoring.
2. Design and document a board-level governance framework, including charters, committee terms of reference, and escalation paths.
3. Develop and implement a compliance programme: policies, monitoring, investigations, remediation and training plans.
4. Produce clear compliance reporting for executives and the board, with KPIs, dashboards and escalation triggers.
5. Manage third-party and conflict-of-interest risk through due diligence, contractual controls and ongoing monitoring.
Who Should Attend
Company secretaries and corporate governance managers
Chief Compliance Officers and compliance managers
General counsel and senior in-house lawyers
Heads of internal audit and risk management
Non-executive directors and board committee members (audit, risk, 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 – Foundations of Corporate Governance and Compliance
1. Principles of Governance and Compliance
- Governance objectives and accountability
- Relationship between governance and compliance
- Building an ethical organisational culture
2. Governance Frameworks
- Corporate governance codes
- Regulatory obligations
- Board and management responsibilities
3. Compliance Responsibilities
- Compliance functions and reporting lines
- Three Lines Model
- Organisational accountability
Day 2 – Governance Structures and Compliance Programmes
1. Board Governance Structure
- Board committees and oversight
- Committee terms of reference
- Delegation of authority
2. Designing Compliance Programmes
- Compliance policies and procedures
- Roles and responsibilities
- Compliance training frameworks
3. Regulatory Mapping
- Identifying legal obligations
- Mapping regulatory requirements
- Maintaining compliance registers
Day 3 – Risk Management and Internal Controls
1. Compliance Risk Assessment
- Identifying compliance risks
- Evaluating likelihood and impact
- Prioritising mitigation activities
2. Internal Control Systems
- Preventive and detective controls
- Control testing
- Monitoring control effectiveness
3. Third-Party and Conflict-of-Interest Management
- Due diligence procedures
- Vendor and partner compliance
- Conflict-of-interest declarations
Day 4 – Monitoring, Investigations and Reporting
1. Compliance Monitoring
- Compliance reviews and audits
- Continuous monitoring techniques
- Exception reporting
2. Managing Compliance Investigations
- Incident reporting procedures
- Evidence collection
- Corrective and preventive actions
3. Executive and Board Reporting
- Compliance dashboards
- KPIs and risk indicators
- Escalation and decision reporting
Day 5 – Practical Governance and Compliance Workshop
1. Governance Framework Assessment
- Reviewing governance arrangements
- Identifying compliance gaps
- Prioritising improvement initiatives
2. Compliance Programme Development
- Designing policies and reporting processes
- Preparing governance documentation
- Developing monitoring plans
3. Implementation Planning
- Establishing governance KPIs
- Creating a compliance improvement roadmap
- Course review, feedback and implementation planning
