Course Description
This module develops the knowledge and skills required to ensure effective compliance with policies and procedures within an organisation and the development of a suitably trained Compliance Team.
Who Should Attend
This course is suitable for senior decision-makers and all public and private sector managers specifically managers looking to create or lead a compliance team
Course Objectives
- Outline the principles and procedures necessary to carryout the compliance function
- Identify the key procedures required in an organisation to manage and prevent fraud
- Outline and evaluate the policies and procedures in an organisation
- Understand and apply knowledge of investigation procedures and interviewing techniques
- Prepare Response Plans to identify suitable plans and actions to counter fraud and the likely outcomes of fraud
- Risk Assess core business areas
Programme Outline
- The role and purpose of the compliance function within regulated and public organisations
- Alternative approaches to compliance
- Control procedures
- Organisational policies in relation to fraud
- Risk assessments
- Investigation processes and evidence gathering
- Organisation of evidence and quality control
- Investigative interviewing – fact finding in a business environment
