CONTINGENCY PLANNING, DOCUMENT MANAGEMENT, WORKFLOW, SAP, ERP, CRM, GOVERNANCE, COMPLIANCE, RISK, CHANGE, QUALITY, AUDIT, PROJECT & PROGRAMME MANAGEMENT, ITIL, COBIT, SIX-SIGMA, SARBANES-OXLEY, MiFID, BASEL 2, SOLVENCY 2, BUSINESS PROCESS RE-ENGINEERING, KEY PERFORMANCE INDICATORS, BENCHMARKS, SCORECARD, MARKET & PRODUCT RESEARCH, PUBLICATIONS

Compliance Management


CERTIFIED COMPLIANCE MANAGEMENT PRACTITIONER: On-line Training or Face to Face

Course Synopsis

The Diploma in Compliance Management can prepare the student for taking up a new compliance management role. It is also ideal for those who would like to develop and hone their skills within an existing compliance management role.
It provides detailed learning on a range of relevant compliance management topics, combining theoretical background with the practical tools, compliance management techniques and compliance communication formats needed for everyday compliance managers.
The course examines changes in compliance management practice against the context of the changes in the UK, EU, US and global economy, and will be of particular interest to those needing to practice compliance management skills on a day-to-day basis.
Throughout, the student is encouraged to use the ideas both in the context of their own experience and through a case study.

Course Content

1. What is Compliance Management?

This module will introduce the student to modern concepts of compliance management (CM) skills, and how these can change and develop within a business management context. It examines the way CM evolves, and the compliance manager’s role in this process. The module concludes a range of guidelines in practical compliance mandates, looking at effective CM.

2. The individual as a Compliance Manager

This module focuses on some essential core skills for a compliance manager, with tips and techniques for successful compliance management, compliance goal-setting, compliance problem-solving, effective compliance resolution meetings, compliance interviewing and giving or receiving compliance related feedback. Relevant tools are explored, including compliance landscape analysis.

3. Compliance Structure and Environment

This module includes an assessment of different features and types of compliance organisation structure and the various environments within which compliance organisations operate. This module assesses recent trends and the move towards the use of compliance integration, and also looks at how to analyse their effects to anticipate a compliance organisation future evolution.

4. Managing Compliance Processes

This module considers the internal features of a compliance organisation, including planning and strategy, compliance costs and budgets and the benefits of understanding the compliance processes of a business. Practical advice is provided on facilitation of workshops, in the context of compliance process improvement.

5. Managing Compliance Projects

The module asks 'What is a compliance project', providing a step-by-step breakdown of the key phases for managing compliance projects successfully. It provides advice on financing compliance projects, and on quality compliance assessment. The module provides guidance on compliance project team roles and effective brainstorming for problem-solving.

6. Managing Compliance Diversity

This module embraces the increasingly diverse UK, EU, US and global compliance mandates and the business case for managing by diversity-unification principles. Key compliance issues and legislation will be examined, including common challenges and potential conflicts, diverse compliance themes of international regulatory styles etc.

7. Compliance and Change

Compliance and change may be regarded as a ‘chicken and egg principle’ – which comes first? Accordingly this module includes a review of compliance-caused/affecting organisational changes, managing the compliance-change process, dealing with individual resistance and cultural issues, the use of coaching, mentoring and facilitation development.

8. Quality and Compliance

If you cannot size it, you cannot measure it, and if you cannot measure it, you cannot improve it – this is a quality and compliance axiom. The use of compliance goals, related compliance performance indicators, service level agreements and benchmarking will be considered, along with a review of quality-compliance management improvement.

9. Audit and Compliance

If you cannot audit it, you cannot measure it, and if you cannot measure it, you cannot improve it – this is an audit and compliance axiom. The use of audit objectives, related audit-compliance performance indicators, service level agreements and benchmarking will be considered, along with a review of audit-compliance management improvement.

10. Ethics and Compliance

This module examines recent trends in business ethics, corporate governance, environmental issues and social responsibility. Practical advice is provided with tips and guidance on making ethics and compliance presentations. Finally, the student is taken through a course review to reflect on their learning and also to help them to set career goals for their next steps.

Mandatory Text Book:
Students are expected to purchase and use the book COMPLIANCE AND CHANGE MANAGEMENT WHAT YOU DON’T LEARN AT HARVARD by Abe Abrahami directly from: www.amzon.co.uk or from: www.amazon.com

Normal training course fee for the on-line is 495.00 Euros - you receive all materials by e-mail and answer test questions to be marked by your personal tutor - but if you apply before March 2009 - you will save 145 Eros and pay only 350 Euros. Contact Peach for an application form by return.