Compliance, Corporate Governance, and Risk Management
About the Course
Understand how governance, risk management, and compliance work together to guide an organization and monitor its performance.
This course explains the responsibilities of management and committees and how requirements are translated into policies, controls, and measurable indicators.
Practical exercises link risks to obligations and develop skills in documenting breaches and corrective action plans, supporting accountability, clear reporting, and coordination between control functions.
Case studies examine situations in which responsibility is shared across departments without clear ownership of decisions or follow-up.
Who Is This Course For?
- Governance, compliance, risk management, and internal audit professionals.
- Committee members, senior executives, and department managers.
- Legal, control, and organizational development personnel.
Topics covered:
- Relationships between governance, risk, and compliance and their impact on organizational performance, distinguishing responsibility for direction, implementation, and independent review.
- Board, committee, and executive management roles and accountability, identifying approval and escalation routes and responsibility for issues shared across these bodies.
- Codes of conduct, conflicts of interest, transparent disclosure, and decision-making, translating principles into clear practices for everyday workplace situations.
- Identifying obligations and translating them into policies, procedures, and responsibilities, maintaining a register of requirements, owners, and evidence of compliance.
- Identifying and assessing risks in relation to objectives and existing controls, evaluating exposure and gaps that require further improvement.
- Testing compliance, detecting breaches, identifying causes, and planning corrective action, assigning owners, deadlines, and evidence needed to close findings.
- Management reporting, monitoring indicators, and escalation of material matters, presenting exceptions, priorities, and decisions required in clear business language.
- A workshop building a matrix of risks, obligations, controls, and responsible owners, testing its consistency against an organizational process and identifying accountability gaps.
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