The Training Environment For Financial Services

Skilled Compliance Investigations

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Outline and Objectives

This ‘best-in-class’ programme is designed to impart specialized knowledge and understanding to compliance investigators in order to assure a skilled and sustained performance when conducting investigations.

There is no standard template on how to carry out a compliance investigation – no one size fits all. 

Underpinning most compliance investigations is an array of strategies, processes, policies and skills and it is important that the compliance investigator understands how, when and why these should be applied. The keystone is always to ensure that every action taken is accountable, defensible and proportionate.

The dynamic nature of compliance investigation requires that Investigators have special abilities and are highly skilled the course aim is therefore to provide in-depth knowledge and understanding of skilled compliance investigation with direction on harmonizing all actions with organizational policies and best practice.

The course presents a learning framework for developing an extensive knowledge of investigating compliance issues and an in-depth understanding of the actions to be carried out, in the right way, at the right time and, most importantly, why.

Attending this practical one or two day course will help you:

  • Characterize best practice, benchmarks and protocols
  • Develop a specialised investigative skill set and knowledge base
  • Define an effective investigative strategy focused on locating, gathering and using the maximum information available
  • Understand the tenets for ensuring procedural fairness and transparency
  • Achieve the highest standards and constituents of proof

Who will benefit?

This programme will be of value to Governance, Risk, Compliance, Internal Audit, Human Resources, Legal, Fraud and other Financial Crime investigators, as well as those in other functions who are responsible for conducting compliance and internal investigations.

Training Approach

The centerpiece of the course will be a testing practical exercise involving a workplace scenario designed to provide problem-based learning and so enhance experience and understanding on how to conduct a successful compliance investigation.

Course Agenda

Topics covered may include:

  • Characterising Compliance Investigation
  • Building a Knowledge Base
  • Proving a Case
  • Employing an Investigative Mindset
  • Planning and Strategizing 
  • Working the Case 
  • Processes and Protocols
  • Marshalling of Evidence
  • Case Management & Record Keeping
  • Skills and Competencies
  • Conduct of a Strategic Case Review
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