Introduction to Corporate Compliance Management

•       What is corporate compliance and why is it important?
•       The role of managers in ensuring compliance with internal and external regulations
•       The cost of non-compliance: Legal, financial, and reputational risks
•       Overview of the training program and key outcomes
•       Interactive Activity: Group discussion on common compliance challenges in your industry

External Regulations and Standards – An Overview

•       Overview of applicable external regulations.
•       Key components of industry-specific compliance regulations
•       International compliance standards: What managers need to know about cross-border regulations
•       Interactive Case Study: Discuss the consequences of non-compliance with external regulations (e.g., recent fines or penalties in your industry)

Understanding External Regulations – Focus on Industry-Specific Standards

•       Focus on industry-specific compliance standards: Financial, healthcare, manufacturing, technology, etc.
•       How to interpret and apply specific regulations within your organization
•       Practical Exercise: Break into groups by industry to review a regulatory standard and assess how it applies to your operations

Compliance Frameworks and Best Practices

•       Key compliance frameworks: ISO 19600, ISO 37001, COSO, and others
•       Best practices for setting up a compliance management system
•       Developing a compliance strategy that aligns with business goals
•       Workshop: Create a compliance framework tailored to your team/department

Implementing Compliance Procedures and Controls

•       Designing internal controls to ensure compliance with regulations
•       How to implement procedures for monitoring and enforcement
•       Using technology and tools to automate compliance tracking
•       Interactive Exercise: Develop a checklist for monitoring compliance with a specific external regulation

Internal Policies and Standards – Structure and Implementation

•       The importance of internal policies and standards in maintaining compliance
•       Creating, revising, and communicating internal policies to employees
•       How to ensure alignment between external regulations and internal policies
•       Activity: Draft an internal policy based on an external regulatory standard

Compliance Risk Management

•       Identifying compliance risks: Legal, operational, reputational, and financial
•       Tools and techniques for assessing compliance risks
•       How to create a compliance risk management plan
•       Interactive Activity: Conduct a risk assessment for your department using a risk matrix

Monitoring and Auditing Compliance

•       Setting up compliance monitoring systems to track adherence to internal and external standards
•       How to conduct compliance audits: Types, processes, and tools
•       The role of internal audits in identifying compliance gaps
•       Workshop: Plan a mock internal audit for a compliance area in your organization

Reporting Compliance Breaches and Corrective Actions

•       How to report compliance breaches: Steps, escalation, and documentation
•       The process of corrective and preventive actions (CAPA)
•       Legal and ethical considerations when reporting breaches
•       Interactive Role-Playing: Simulate a compliance breach scenario and develop a corrective action plan

Building a Culture of Compliance

•       Leadership’s role in promoting compliance and ethical behavior
•       Strategies for engaging employees in compliance initiatives and fostering accountability
•       Training and awareness programs to maintain compliance
•       Interactive Exercise: Develop an action plan for enhancing the culture of compliance in your organization