Governance and Compliance
Course ID: 260720 0101 181ESH
Course Dates : 20/07/2026 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 gives practical governance and compliance skills you can apply immediately. You will learn how to align governance structures with regulatory requirements, manage compliance risk, and set up monitoring and reporting that senior leaders can use. Regulatory expectations and enforcement are rising; organisations need clear roles, accountable processes, and evidence a controls program works.
Objectives
1. Map applicable laws, standards and regulators and link them to specific business processes.
2. Design a proportionate governance framework with clear roles, authorities and escalation paths.
3. Implement core compliance controls, monitoring routines and KPIs, and use them to detect gaps.
4. Run risk-based compliance assessments and convert findings into prioritized remediation plans.
5. Prepare concise compliance reports and present actionable recommendations to senior management and the board.
2. Design a proportionate governance framework with clear roles, authorities and escalation paths.
3. Implement core compliance controls, monitoring routines and KPIs, and use them to detect gaps.
4. Run risk-based compliance assessments and convert findings into prioritized remediation plans.
5. Prepare concise compliance reports and present actionable recommendations to senior management and the board.
Who Should Attend
1. Compliance managers and officers
2. In-house legal counsel responsible for regulatory matters
3. Internal auditors and audit managers
4. Risk managers and risk analysts
5. Company secretaries and board governance advisors
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 Governance and Compliance
1. Principles of Corporate Governance
- Governance objectives and principles
- Roles of boards, committees, and management
- Accountability and organisational oversight
2. Regulatory Environment
- Identifying applicable laws and regulations
- Understanding regulatory authorities
- Mapping legal obligations to business activities
3. Governance Framework Design
- Defining governance structures
- Assigning responsibilities and authorities
- Establishing escalation and reporting lines
Day 2 – Compliance Management Systems
1. Compliance Risk Assessment
- Identifying compliance risks
- Assessing regulatory exposure
- Prioritising compliance activities
2. Compliance Policies and Procedures
- Developing compliance policies
- Implementing operational procedures
- Communicating compliance expectations
3. Compliance Controls
- Designing preventive and detective controls
- Assigning control ownership
- Documenting control activities
Day 3 – Monitoring and Performance Management
1. Compliance Monitoring
- Developing monitoring programmes
- Conducting compliance reviews
- Recording monitoring results
2. Compliance KPIs
- Selecting key compliance indicators
- Measuring compliance performance
- Tracking regulatory obligations
3. Compliance Reporting
- Preparing management compliance reports
- Presenting compliance dashboards
- Escalating significant compliance issues
Day 4 – Audits, Investigations, and Remediation
1. Internal Compliance Audits
- Planning compliance audits
- Collecting audit evidence
- Evaluating compliance effectiveness
2. Managing Non-Compliance
- Investigating compliance breaches
- Performing root cause analysis
- Documenting corrective actions
3. Remediation Planning
- Prioritising compliance improvements
- Assigning remediation responsibilities
- Monitoring implementation progress
Day 5 – Practical Governance and Compliance Workshop
1. Governance Framework Exercise
- Mapping regulations to business processes
- Designing governance structures
- Defining reporting and escalation procedures
2. Compliance Assessment Simulation
- Conducting a risk-based compliance review
- Identifying control gaps
- Preparing remediation recommendations
3. Governance and Compliance Review
- Presenting compliance findings to senior management
- Identifying opportunities for continuous improvement
- Course review, feedback and implementation planning
