Course Descriptor 

1. 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.

                                                          Indicative Content

• 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

Learning Outcomes – Knowledge & Understanding

• Outline the principles and procedures necessary to carry out 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