Certificate in Compliance and Risk Management
About This Course
This course equips professionals with practical knowledge and tools to ensure institutional compliance with legal, regulatory, and internal policy standards. Participants will explore risk frameworks, ethics, anti-corruption controls, audit readiness, donor compliance, and risk-based decision-making practices to build robust and accountable organizations.
Learning Objectives
Understand the role of compliance and risk management in institutional performance
Interpret national laws and donor regulations that apply to their work
Build effective internal control systems and identify compliance gaps
Use tools to assess, track, and mitigate organizational risks
Foster ethical, transparent, and accountable work environments
Prepare their teams and organizations for audits, reviews, and donor reporting
Design compliance systems that are tailored to their sector and operational context
Target Audience
- Compliance officers, internal auditors, operations managers, NGO program officers, finance staff, procurement personnel, and aspiring risk and compliance professionals
Curriculum
Module 1: Introduction to Compliance and Risk Management
This module introduces participants to the foundations, principles, and importance of compliance and risk management in organizations.
Topics Covered:
What is compliance? What is risk management?
Types of compliance (legal, regulatory, policy-based, donor, etc.)
Why compliance and risk matter
Key stakeholders in compliance and risk management
Risk management frameworks (ISO 31000, COSO)
Module 2: Legal and Regulatory Frameworks
In this module, participant will gain knowledge of relevant laws, regulations, and standards affecting your organization.
Topics Covered:
National regulatory environment (labor laws, procurement laws, AML/CFT, etc.)
Sector-specific compliance (finance, NGOs, healthcare, education)
Data protection and privacy obligations
Roles of regulators and enforcement agencies
Penalties for non-compliance
Module 3: Internal Controls and Organizational Policies
This module enables participants to learn how to build, assess, and improve internal control systems that promote accountability and prevent fraud.
Topics Covered:
Components of internal control systems
Policy development and standard operating procedures (SOPs)
Segregation of duties and approval workflows
Red flags and fraud prevention
Control self-assessment techniques
Module 4: Risk Identification, Assessment, and Mitigation
In this module, participants will master practical tools for identifying, prioritizing, and responding to organizational risks.
Topics Covered:
Types of risk: operational, financial, reputational, strategic, legal
Risk identification methods (interviews, audits, observation, etc.)
Risk matrices and scoring systems
Risk registers and treatment plans
Embedding risk management in decision-making
Module 5: Ethics, Anti-Corruption, and Whistleblower Protection
Participants will learn how to promote ethical behavior and build anti-corruption mechanisms into organizational culture.
Topics Covered:
Organizational ethics and codes of conduct
Conflict of interest and transparency
Bribery, fraud, and corruption risk
Whistleblower policies and protection strategies
Case studies: Ethics and compliance failures
Module 6: Donor and Contractual Compliance
This module empower participants to ensure compliance with donor requirements and contractual obligations in projects and operations.
Topics Covered:
Donor compliance frameworks (EU, UN, World Bank, etc.)
Financial reporting and documentation standards
Procurement compliance and subaward monitoring
Common compliance issues in development programs
Building a donor audit-ready culture
Module 7: Compliance Monitoring and Reporting
Participants will learn how to build systems for tracking, documenting, and reporting on compliance and risk.
Topics Covered:
Compliance dashboards and checklists
Conducting internal compliance reviews or spot checks
Audit preparation and response
Reporting compliance breaches and risk events
Communicating risk and compliance to leadership
Your Instructors
admin
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$150.00
