Introduction

In today’s complex regulatory environment, compliance and audit functions have become critical in ensuring organizational integrity, risk mitigation, and continuous improvement. This program, designed by Global Horizon Training Center, equips participants with advanced skills to understand regulatory obligations, design and evaluate audit processes, and foster a culture of continuous improvement within their organizations. The training addresses the strategic role of compliance and internal auditing in reinforcing organizational governance and driving sustainable growth.

Objectives

By the end of this training course, participants will be able to:

• Understand the key components of compliance and regulatory frameworks.

• Evaluate and implement effective audit practices and internal control mechanisms.

• Identify and manage compliance risks.

• Utilize tools and techniques to drive continuous improvement in compliance and audit operations.

• Integrate compliance and auditing processes into the broader organizational strategy.

• Foster a culture of ethical behavior and accountability across departments.

Course Methodology

This course is highly interactive and includes:

• Expert-led presentations and real-world case studies

• Group discussions and workshops

• Compliance simulations and audit exercises

• Risk analysis and control design tasks

• Continuous improvement planning sessions

• Peer knowledge sharing and best practice identification

Organizational Impact

Organizations that invest in this training will gain:

• Enhanced compliance posture and reduced risk of regulatory violations

• Strengthened internal audit capabilities aligned with international standards

• Improved integration of compliance with business performance metrics

• Empowered staff capable of identifying inefficiencies and driving operational improvements

• Increased trust from stakeholders through demonstrated commitment to ethical practices

Target Audience

This course is ideal for:

• Compliance Officers and Managers

• Legal and Regulatory Affairs Personnel

• Internal Auditors and Risk Managers

• Corporate Governance Specialists

• Quality and Process Improvement Professionals

• Senior Managers responsible for compliance strategy or audit oversight

Outlines

Day 1: Foundations of Compliance and Corporate Governance

• Introduction to corporate governance and the role of compliance

• Global regulatory frameworks and key compliance standards (ISO, COSO, SOX)

• Legal risk exposure and reputational risk

• Roles and responsibilities in a compliance management system

• Principles of ethical business conduct and anti-corruption measures

• Case study: Corporate failures due to compliance breaches

Day 2: Internal Audits: Principles, Planning, and Execution

• Internal audit vs. external audit: scope and function

• Audit planning: risk-based approach and audit cycles

• Internal controls and control frameworks

• Audit tools, checklists, and evidence gathering

• Reporting audit findings and follow-up procedures

Day 3: Compliance Risk Management and Reporting

• Identifying and assessing compliance risks

• Building a compliance risk register

• Regulatory reporting and documentation best practices

• Incident management and escalation protocols

• Integrating compliance KPIs into performance reporting

• Interactive session: Developing a compliance dashboard

Day 4: Continuous Improvement Techniques for Compliance Functions

• Overview of continuous improvement models (PDCA, Six Sigma, Lean)

• Applying process improvement tools to compliance functions

• Root cause analysis and corrective action planning

• Monitoring and sustaining improvements

• Building a compliance-centric improvement culture

Day 5: Embedding Compliance into Organizational Strategy

• Compliance as a strategic enabler

• Cross-functional collaboration with audit, legal, risk, and HR

• Leadership and communication skills for compliance professionals

• Building a culture of accountability and transparency

• Benchmarking and measuring compliance maturity