Building & Maintaining a Compliance Program
Learn how to develop, implement, and sustain an effective compliance program that meets global regulatory standards.
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Enroll now for early access of e-LMS
Online
Corporates
Moderate
1 hours
Compliance & Ethics: Deep Dive, Law, Law Professionals
About
The Building & Maintaining a Compliance Program course is designed for compliance officers, legal professionals, risk managers, and corporate executives responsible for regulatory compliance and risk management. Organizations must navigate complex regulations, industry standards, and ethical guidelines to ensure legal adherence and avoid penalties. This course provides a structured approach to designing, implementing, and maintaining compliance programs, including monitoring frameworks, internal controls, and corporate governance best practices.
Aim
- Provide a step-by-step guide for designing and implementing a corporate compliance program.
- Teach best practices for policy development, monitoring, and enforcement.
- Ensure compliance with global regulations such as GDPR, FCPA, SOX, AML, and ISO 37301.
- Equip professionals with strategies for risk identification, mitigation, and ethical governance.
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Program Objectives
- Understand the key components of a compliance program and its role in corporate governance.
- Learn how to assess regulatory risks and create effective internal policies.
- Gain insights into compliance monitoring, auditing, and reporting mechanisms.
- Develop skills for training employees and fostering an ethical corporate culture.
- Explore case studies of successful and failed compliance programs to apply best practices.
Program Structure
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Module 1: Introduction to Compliance & Regulatory Frameworks
- The importance of compliance in business operations.
- Overview of major global compliance laws and industry standards.
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Module 2: Designing a Compliance Program
- Identifying regulatory risks and compliance obligations.
- Developing internal policies, procedures, and reporting structures.
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Module 3: Implementing & Monitoring Compliance Programs
- Setting up compliance controls and risk assessment tools.
- Best practices for compliance audits and continuous monitoring.
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Module 4: Employee Training & Ethical Culture Development
- Training staff on compliance policies, reporting mechanisms, and ethical behavior.
- Creating a corporate culture of compliance and integrity.
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Module 5: Crisis Management & Regulatory Enforcement
- Handling compliance violations and regulatory investigations.
- Case studies on corporate compliance failures and lessons learned.
Participant’s Eligibility
- Compliance officers and risk managers developing internal policies.
- Corporate legal professionals ensuring regulatory adherence.
- Business executives and board members overseeing governance and ethics.
- HR professionals managing employee training and ethical compliance.
Program Outcomes
- Mastery of compliance program design, implementation, and enforcement.
- Ability to mitigate legal, financial, and operational risks through compliance measures.
- Enhanced skills in compliance auditing, monitoring, and reporting.
- Confidence in regulatory adherence across global jurisdictions.
Fee Structure
Discounted Fee: INR 1999 USD 29
Batches
Certificate
Program Assessment
Certification to this program will be based on the evaluation of following assignment (s)/ examinations:
| Exam | Weightage |
|---|---|
| Final Online Exam | 50% |
| Project Report Submission (Includes Mandatory Paper Publication) | 50 % |
To study the printed/online course material, submit and clear the mid term assignments, project work/research study (in completion of project work/research study, a final report must be submitted) and the online examination, you are allotted a 1-month period. You will be awarded a certificate, only after successful completion/ and clearance of all the aforesaid assignment(s) and examinations.
Program Deliverables
- Access to e-LMS
- Paper Publication Opportunity
- Self Assessment
- e-Certification
- e-Marksheet
Future Career Prospects
With increasing regulatory requirements in industries such as finance, healthcare, technology, and manufacturing, professionals skilled in compliance risk management are highly sought after. This program provides a strong foundation for leadership roles in compliance, corporate governance, and risk assessment.
Job Opportunities
- Chief Compliance Officer (CCO)
- Risk & Compliance Manager
- Corporate Governance & Ethics Advisor
- Regulatory Affairs Specialist
- Internal Audit & Compliance Analyst
Disclaimer
This program provides educational insights into compliance program development. It is not a substitute for professional legal, financial, or regulatory consulting. Participants should consult compliance experts for organization-specific compliance needs.
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