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Course Code: ARG 1258
37 Course Visits
Compliance Investigation and Enforcement Training
Course Sector:
Audit, Risk and Governance
Course Dates and Locations
Choose a date and location to book your seat
No.
Date
Days
Location
Fees
Enrollment
01
5 Days
Los Angeles , USA $5,950
02
5 Days
Online, Virtual $2,150
03
5 Days
Riyadh, KSA $4,250
Introduction
Training course introducion / brief
is a comprehensive
5-day program designed to equip professionals with the skills and knowledge
necessary to conduct effective compliance investigations and implement
enforcement actions. This course is particularly beneficial for compliance
officers, risk managers, internal auditors, HR professionals, and legal
advisors
Course Objectives
At the end of the training course, participants will be able to
- 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.
Course Audience
Who is this course for, and can benefit the most
coming soon
Course Outline
The course aims and learning outcomes
Foundations of Compliance Investigation
- Introduction to Compliance and Enforcement
- Overview of compliance frameworks and organizational significance.
- Key principles: fairness, impartiality, and confidentiality.
- Regulatory requirements and industry standards.
- Methods for detecting potential compliance issues.
- Risk assessment techniques.
- Case studies on common compliance violations.
Planning and Initiating Investigations
- Developing Investigation Plans and Strategies
- Setting objectives and scope.
- Resource allocation and team formation.
- Establishing timelines and milestones.
- Gathering Evidence: Methods and Tools
- Techniques for document and data collection.
- Digital evidence handling.
- Chain of custody and evidence preservation.
Conducting Investigations
- Interviewing Techniques
- Preparing for and conducting interviews.
- Questioning strategies and handling resistance.
- Documenting and analyzing interview outcomes.
- Evaluating the credibility and relevance of evidence.
- Identifying patterns and inconsistencies.
Reporting and Communication
- Structuring Investigation Reports
- Organizing findings and evidence.
- Writing clear and concise reports.
- Addressing potential legal implications.
- Presenting findings to management and regulatory bodies.
- Handling media inquiries and public relations.
- Maintaining confidentiality and managing sensitive information.
Enforcement Actions and Building a Compliance Culture
- Implementing Corrective Actions
- Developing and enforcing disciplinary measures.
- Monitoring the effectiveness of corrective actions.
- Reporting to regulatory authorities.
- Training and awareness programs.
- Promoting ethical behavior and accountability.
- Continuous improvement and feedback mechanisms.
Providers and Associations
Providing the best training services and benefits to our valued clients
Boost certificate of completion
BOOST's Professional Attendance Certificate “BPAC” is always given to the delegates after completing the training course, and depends on their attendance of the program at a rate of no less than 80%, besides their active participation and engagement during the program sessions.
ENDORSED EDUCATION PROVIDER
Flexible deadlines
Customized dates accordance to your schedule
Shareable Certificate
Earn certificate upon completion
COURSE METHODOLOGY
Our Training programs are implemented by combining the participants' academic knowledge and practical practice (30% theoretical / 70% practical activities).
At The end of the training program, Participants are involved in practical workshop to show their skills in applying what they were trained for. A detailed report is submitted to each participant and the training department in the organization on the results of the participant's performance and the return on training. Our programs focus on exercises, case studies, and individual and group presentations.
Since 2001, we have been pioneering the training field in the middle east, we managed to unlock potential and help individuals, teams and organisations to be the best that they can be with our full and integrated solutions.
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