Day 1: Compliance System Architecture and Sources of Obligation

Enterprise Compliance Context

• Identify regulators, laws, contracts, policies
• Distinguish external obligations from internal controls
• Assess how culture shapes compliant conduct
• Analyze obligation distributed across several units

Compliance Obligations Register

• Write obligations in specific testable language
• Link obligations with process owners/evidence
• Define performance reporting or renewal frequency
• Compile regulatory-obligation register for business area

Compliance Governance under ISO 37301

• Clarify leadership compliance-function and management roles
• Define independence and information-access expectations
• Connect compliance objectives with risk assessment
• Diagnose gap within existing operating model

Day 2: Compliance Risk Assessment and Controls

Exposure Assessment Method

• Define noncompliance scenarios for material obligations
• Estimate regulatory financial and reputational consequences
• Consider detectability and management behavior
• Apply method to set of obligations

Critical Compliance Controls

• Connect controls with breach points/causes
• Specify evidence demonstrating timely operation
• Reduce signatures without substantive verification
• Redesign a weak regulatory-monitoring control

Conduct and Culture Risk

• Identify incentives encouraging circumvention or concealment
• Assess rule clarity and advice accessibility
• Use breach and speak-up data contextually
• Analyze a cultural issue affecting compliance

Day 3: Regulatory Change and Operational Embedding

Regulatory Change Monitoring

• Identify authoritative sources for regulatory updates
• Triage changes by significance/date
• Avoid circulating update without impact analysis
• Maintain a structured regulatory-change register

Impact Analysis and Implementation

• Identify affected policies, systems, roles, processes
• Assign owners for required implementation action
• Define training or communication using gap
• Build implementation plan for regulatory change

Embedding Compliance in Operations

• Integrate requirements into process design early
• Automate checks through forms and systems
• Define exceptions requiring documented approval
• Redesign steps to reduce compliance exposure

Day 4: Monitoring, Testing, and Breach Management

Risk-Based Compliance Monitoring

• Set testing topics/frequency by exposure
• Choose samples/procedures proportionate to obligations
• Combine data indicators with manual review
• Prepare an annual monitoring calendar

Testing Control Effectiveness

• Separate control design from operating effectiveness
• Define sufficient evidence for stated period
• Classify exceptions by significance and spread
• Analyze results from a compliance-control test

Managing Breaches and Violations

• Triage incidents and identify escalation obligations
• Protect evidence confidentiality and party rights
• Analyze root causes and corrective action
• Document a structured compliance case record

Day 5: Measurement, Reporting, and System Improvement

Compliance Effectiveness Indicators

• Avoid relying on training/policy counts
• Measure overdue actions, breaches, remediation effectiveness
• Use conduct/culture indicators with limitations
• Design a leadership compliance dashboard

Management and Regulatory Reporting

• Define required disclosure accuracy and timeliness
• Separate facts from estimates and investigation
• Establish approval routes for sensitive information
• Prepare reporting for material compliance matter

System Review and Improvement

• Combine monitoring, audit, regulatory-change evidence
• Prioritize system gaps by residual exposure
• Define measurable improvement priorities
• Present maturity roadmap for compliance system

• Obligation and risk registers built from realistic regulatory cases
• Application of ISO 37301 principles to a compliance operating model
• Control-testing and monitoring exercises using evidence and samples
• A simulation covering reporting and escalation of a material compliance issue