Workshop on Compliance Management Course for Public Sector Officers

Program overview:

Compliance training refers to the process of educating employees on laws, regulations and company policies that apply to their day-to-day job responsibilities. An organization that engages in compliance training hopes to avoid and detect violations by employees that could lead to legal liability for the organization, create a more hospitable and respectful workplace and lay the groundwork for a partial or complete defense in the event that employee wrongdoing occurs despite the organization’s training efforts. This 5-day compliance training course has been designed to provide participants with the key skills, abilities and confidence required to improve their handling of compliance issues in their Ministries, Departments and Agencies.

For whom:

Executives and Senior Officials of Ministries, Departments and Agencies, Heads of Departments, Directors, Senior Managers, Managers, Company Secretaries, Accountants and Finance Professionals responsible for good governance & compliance management, Risk and compliance managers and managers in the regulatory bodies in federal, state and local government and other key Stakeholders within the public sector

Learning objectives:

At the end of the program, participants will be able to:

• explain the requirements of the good governance & risk management of MDAs other relevant governance expectations;
• define, develop and deploy compliance policies for their various Ministries, Department and Agencies;
• list factors that drive an organization’s compliance exposure;
• explain the risk consequences of non-compliance;
• manage the relationship between corporate governance and compliance;
• know the implications of corporate accountability and ethical behavior; and
• optimize organizational structure for compliance purposes.

Course outline:

Day 1: Overview of Public Sector Compliance and Good Governance

• An Overview of the International Governance Trends
• The Batho Pele Principles
• Why good governance and compliance in public sector?
• The Principles of Good Governance and Ethics
• The Similarities and Differences with the Private Sector
• What is Compliance Risk, why is it important?
• What are the activities of the Compliance Department?
• Code of Practice for the Governance of Ministries, Departments and Agencies

Day 2: Effective Control Structures in MDAs

• Essential elements of a robust organizational structure
• Risk management, Management information
• Control functions – Compliance & Internal Audit
• Staff, agents & outsourcing
• Managing Conflicts of Interest
• Corporate conflicts, Personal conflicts
• Gifts & inducements, Chinese Walls & other controls
• Market abuse and insider dealing

Day 3: Role of the Compliance Officers in the Public Sector

• Key attributes of a Compliance Officer
• The location of Compliance function, Compliance training

 and education

• Compliance monitoring, Compliance manuals and

documentation

• Integration or independence of the compliance function
• Optimal compliance architecture

Day 4: Developing a Corporate Compliance Program in MDAs

• Code of conduct, Policies and procedures
• Best practice principles, Monitoring and auditing
• Implementation of Corporate Compliance in MDAs
• Implementation requirements: Case studies

Day Five: Issues in Compliance

• The demand for Corporate Social Responsibility (CSR)
• Fraud and corruption control, International money laundering
• Whistle blower programs and the law
• Determining the Effectiveness of the Compliance Function
• Compliance monitoring by top management
• The compliance report.

Training Methodology

Lectures, discussions, exercises, case studies, audio-visual aids will be used to reinforce these teaching/learning methods.