Compliance, Audit, Monitoring and Risk Management Course


Compliance training is a comprehensive Programme that helps organizations and their employees conduct operations in an ethical manner, with extreme integrity, and in compliance with legal and regulatory requirements. New risks because of demanding economic conditions increase pressure on compliance leaders.

Traditionally, compliance officers focused on expanding coverage to various risks and layering compliance activities on top of business workflows and systems. However, recently, the focus has shifted to introducing compliance programmes as part of operations.

This IRES training course will empower you with detailed information and knowledge about creating and managing compliance in your organization. It will provide you with the necessary experience, exposure and skill to play an important part in creating compliance policies and systems in your organization and successfully and effectively manage these to help the organization progress within all ethical and legal boundaries.

Further, by undertaking this Corporate Compliance, Audit, Monitoring and Risk Management course, you will gain confidence and knowledge to readily accept and assume critical and sensitive roles and responsibilities in your organization


10 Days

Who Should Attend

  • Senior members of management responsible for ensuring that the organization is compliant with universally accepted standards
  • Compliance officers responsible for ensuring adherence to compliance policies and protocols and for managing change in standards when the need arises
  • Human resource professionals responsible for ensuring that compliance is part of their work culture and operations and defaulters are put to the test
  • Internal and external auditors who conduct regular checks to ensure and certify adherence to set standards
  • Investors and shareholders who would be interested to invest in an organization that is compliant with universal standards, thus depicting credibility
  • Any other working professional who would like to know more about compliance and compliance management to develop one’s work ethic and/or to undertake higher roles and responsibilities related to compliance and compliance management

Course Objectives

At the end of this IRES training course, participants will learn:

  • In-depth understanding of compliance and compliance management
  • The required knowledge to comply with all necessary standards and rules in one’s work
  • The required confidence and skill to partake in devising compliance programmes and processes and managing compliance within the organisation throughout
  • The required skill and capabilities to work with advanced techniques and tools to manage compliance effectively in the organisation
  • The necessary exposure to predict possible compliance-related risks to the organisation and implement necessary steps to control these

Adequate foresight to make arrangements for future changes in standards and rules and prepare one’s organisation to make alterations to comply with changing standards

Course Outline

Module 1 – Overview of Compliance

  • Definition of compliance
  • Definition of the compliance framework
  • Definition of compliance standards
  • Definition of compliance standard rule

Module 2 – Features of Successful Compliance Activities

  • Design (to be part of the business workflow)
  • Coordinate (with related assurance activities)
  • Assess (for burden and integration)

Module 3 – Steps to a Compliance Risk Management Approach

  • Prioritise activities
  • Make regulatory alerts and updates actionable
  • Assess and manage the Business impact

Module 4 – Steps in Compliance Risk Analysis

  • Risk identification
  • Risk assessment
  • Risk evaluation
  • Risk treatment
  • Monitoring, review and corrective action
  • Communication

Module 5 – Scope of a Compliance Programme

  • Define programme mandate
  • Mitigate and monitor risks
  • Establish policies and procedures
  • Oversee allegations of misconduct
  • Provide training and communication
  • Reinforce behavioural expectations
  • Manage the function

Module 6 – Challenges in Compliance Management

  • Compliance silos
  • No single view of compliance assurance
  • Home-grown systems
  • Old, rigid software
  • Lack of automated monitoring

Module 7 – Factors Impacting Compliance Management

  • Nature of Board and audit committee
  • Management’s philosophy and operating style
  • Organisational structure
  • Risk culture and tolerance

Module 8 – Importance of Compliance Programmes

  • Enhanced visibility into organisational risks
  • Greater accountability for risk management
  • Assurance on stewardship of donated funds
  • Culture of ethics and compliance 

Module 9 – Elements of an Effective Compliance Programme

  • Experienced audit committee
  • Written policies and procedures
  • Training and education
  • Lines of communication
  • Standards through disciplinary guidelines
  • Internal compliance monitoring
  • Response to detected offences
  • Periodic risk assessments

Module 10 – Responsibilities of Compliance Programmes

  • Fiduciary responsibility
  • Federal financial reporting
  • Internal controls/standards
  • Legal and regulatory requirements
  • Organisational policies

Enroll for this Course

We are proud to offer this course in a variety of training formats to suit your needs.


Enroll for a Face-to-Face (In-Person) Class

We use the highest quality learning facilities to make sure your experience is as comfortable as possible.

Register Here

Enroll for a Virtual (Zoom) Class

Join a scheduled class with a live instructor and other delegates.

Register Here

Enroll for an Online Self-Paced Class

Keep track of your own progression throughout your course and ensure continuous improvement.

Register Here

Benefits of Taking a Course at IRES


Our courses are carefully curated to keep you abreast of latest industry trends, technological advancements, and best practices. We employ a variety of teaching methodologies, including hands-on workshops, case studies, and interactive sessions, all aimed at fostering an engaging and effective learning environment. Our expert instructors bring a wealth of knowledge and real-world experience, providing our clients with insights that can be immediately applied in their professional lives.


Our courses serve as a vibrant platform for professionals to connect and engage with a diverse community of peers, industry leaders, and experts. By participating in our programs, you gain access to an invaluable network that spans across various sectors and geographical boundaries. This networking aspect is not just about forming professional relationships; it's about creating a supportive ecosystem where ideas, opportunities, and collaborations can flourish.


Our courses are designed to challenge and inspire professionals to step out of their comfort zones and explore new horizons. Through a combination of theoretical knowledge and practical application, our programs help professionals refine their existing skills and acquire new ones, making them more versatile and competitive.

FAQs & Course Administration Details:

This training can also be customized to suit the needs of your institution upon request. You can have it delivered in our IRES Training Centre or at a convenient location. For further inquiries, please contact us on Phone: +254 715 077 817 or Email: [email protected].
The instructor led trainings are delivered using a blended learning approach and comprise of presentations, guided sessions of practical exercise, web-based tutorials and group work. Our facilitators are seasoned industry experts with years of experience, working as professional and trainers in these fields. All facilitation and course materials will be offered in English. The participants should be reasonably proficient in English.
Upon successful completion of this training, participants will be issued with an Indepth Research Institute (IRES) certificate certified by the National Industrial Training Authority (NITA).
Payment should be transferred to IRES account through bank on or before start of the course. Send proof of payment to [email protected].
Accommodation and airport pickup are arranged upon request. For reservations contact the Training Officer. Email: [email protected] Phone: +254 715 077 817.

Who else has taken this course?

# Job Title Organisation Country
1 UNICEF Somalia
2 UNICEF Somalia
3 UNICEF Somalia