An Interactive 5-Day Training Course
Compliance Investigation and Enforcement
Building Expertise in Investigating and Enforcing Compliance Standards
Classroom Sessions:
INTRODUCTION
In today’s dynamic and highly regulated business environment, organizations must ensure adherence to legal requirements, ethical standards, and internal policies. Effective compliance investigation and enforcement are critical components of maintaining organizational integrity, mitigating risks, and fostering trust among stakeholders. This comprehensive training course equips participants with the tools, techniques, and knowledge required to conduct thorough compliance investigations and enforce corrective actions to safeguard their organizations.
This Compliance Investigation and Enforcement training course is designed to provide participants with a detailed understanding of the compliance investigation process, from identifying triggers and gathering evidence to navigating legal frameworks and implementing enforcement actions. Through a blend of theory, case studies, and practical exercises, participants will gain insights into managing complex investigations while adhering to ethical principles and maintaining confidentiality.
Whether you are a compliance officer, risk manager, HR professional, or legal advisor, this course will empower you to strengthen your organization’s compliance capabilities and create a culture of accountability.
Objectives
By the end of this Compliance Investigation and Enforcement training course, participants will:
- Understand the principles and importance of compliance investigation and enforcement.
- Identify compliance risks and determine triggers for investigations.
- Develop and implement effective investigation plans.
- Apply advanced techniques for evidence collection, interviewing, and reporting.
- Navigate legal and ethical challenges during investigations.
- Draft comprehensive and actionable investigation reports.
- Implement enforcement actions and develop preventive strategies.
WHO SHOULD ATTEND?
This GLOMACS training course is ideal for:
- Compliance Officers and Managers
- Risk Management Professionals
- Internal Auditors and Corporate Governance Teams
- HR Managers and Personnel responsible for policy enforcement
- Legal Advisors and In-House Counsel
- Team Leaders and Supervisors managing compliance adherence
- Professionals involved in regulatory affairs and ethics management
DAY 1
Foundations of Compliance Investigation
- Introduction to Compliance and Enforcement
- Overview of compliance frameworks and organizational significance.
- Defining compliance investigation and enforcement within the corporate context.
- Key Roles in Compliance Investigations
- Understanding the responsibilities of investigators, legal teams, and stakeholders.
- Establishing investigation committees and protocols.
- Triggers for Compliance Investigations
- Identifying compliance risks and policy violations.
- Common triggers: complaints, audits, regulatory inquiries, and whistleblower reports.
- Developing an Investigation Plan
- Defining the scope, objectives, and timeline of the investigation.
- Allocating resources and managing expectations.
DAY 2
Investigative Procedures and Evidence Collection
- The Investigation Process: Step-by-Step Guide
- Planning and initiating the investigation.
- Ensuring proper documentation at each stage.
- Gathering Evidence
- Types of evidence: documentary, digital, and physical.
- Tools and techniques for effective evidence collection.
- Ensuring the chain of custody for admissibility in legal contexts.
- Interviewing Techniques
- Preparing for interviews: objectives, scripts, and settings.
- Conducting interviews with witnesses and alleged violators.
- Handling challenging interview scenarios.
- Documenting Findings
- Best practices for maintaining investigation logs.
- Ensuring consistency and accuracy in documentation.
DAY 3
Legal and Ethical Considerations
- Legal Frameworks for Compliance Investigations
- Overview of national and international compliance regulations.
- Understanding data privacy laws and anti-corruption statutes.
- Ethical Considerations in Investigations
- Managing conflicts of interest and maintaining impartiality.
- Ensuring confidentiality and non-retaliation policies.
- Avoiding Legal Pitfalls
- Ensuring adherence to labor laws and whistleblower protection.
- Addressing defamation risks and procedural fairness.
DAY 4
Reporting and Communicating Findings
- Structuring Investigation Reports
- Components of a comprehensive report: background, findings, conclusions, and recommendations.
- Techniques for presenting findings clearly and objectively.
- Communicating with Stakeholders
- Tailoring communication for leadership, legal teams, and regulators.
- Addressing sensitive issues while maintaining confidentiality.
- Developing Actionable Recommendations
- Linking investigation findings to corrective measures and policy updates.
- Proposing training programs and process improvements.
- Workshop: Report Writing Practice
- Participants draft a report based on a case study and receive feedback.
DAY 5
Enforcement Actions and Preventive Strategies
- Implementing Enforcement Actions
- Types of enforcement: disciplinary measures, policy updates, and regulatory reporting.
- Collaboration with HR and legal teams for enforcement implementation.
- Monitoring and Follow-Up
- Tracking compliance with implemented actions.
- Conducting audits to ensure sustained adherence.
- Preventing Future Violations
- Developing a culture of compliance through training and awareness.
- Enhancing internal controls and policy frameworks.
- Simulation Exercise
- Participants simulate a compliance investigation from initiation to enforcement.
- Course Wrap-Up
- Key takeaways and lessons learned.
- Developing a personalized action plan for implementation in participants’ organizations.
- On successful completion of this training course, GLOMACS Certificate will be awarded to the delegates
- Continuing Professional Education credits (CPE) : In accordance with the standards of the National Registry of CPE Sponsor, one CPE credit is granted per 50 minutes of attendance
Endorsed Education Provider
GLOMACS is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.NASBARegistry.org
In Association With
The Energy Training Centre
Our collaboration with Energy Training Centre aims to provide the best training services and benefits for our valued clients
Dubai - UAE
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Tel: +971 (04) 425 0700
Fax: +971 (04) 425 0701
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GLOMACS Training & Consultancy
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