RCG208Managing and developing an Ethical & Compliance programme

COURSE SUMMARY

This course provides participants guidance in implementing and managing a practical and risk-based E&C programme that suits the scale, culture, industry, and business model of your organisation.

COURSE DETAILS

Course Fee SGD 1100
Course Duration 2 Days
Course Timing 9:00am - 5:00pm
Course Venue M Hotel and similar
SDF Approved NA
Skills Future Credit NA
Upcoming Courses

Having a functional E&C programme is no longer optional. At the same time, the scope of E&C has grown hugely. Corruption and money laundering scandals grab headlines and severely damage businesses. However, sanctions, modern slavery, discrimination, harassment, anti-competitive practices, and fraud can be equally damaging. It is therefore fundamental to understand your potential exposure, what you need to do, how to do it, and do all this using finite resources wisely. The E&C programme needs to help – not get in the way – of commercial objectives, which can be challenging as the business looks to new and emerging markets, where the E&C risk profile can be higher. Having a robust, right-sized, and functional E&C programme can not only help insulate the business from some of these risks, but can actually become a competitive advantage.

On completion of this programme, participants will:

  • Gain knowledge on the fundamental elements of an E&C programme
  • Deeper insight into some of the more challenging areas (including managing third-parties, reporting frameworks, and interacting with public officials)
  • Learn about some of the more common missteps and mistakes others have made and how to avoid that happening to your organization
  • Gain tips and guidance on how to quickly benchmark your E&C programme against best practice
  • Get tools on how to set-up a risk assessment and monitoring function for your E&C programme
  • Receive guidance on how to message, communicate, and train colleagues on E&C

1. Introduction to the E&C programme

  • What does a comprehensive E&C programme look like?
  • Do you need every element (especially for SMEs)?
  • What do the regulators expect?
  • Turning legalese into language anyone can understand

2. Different issues you need to consider

  • Corruption and bribery (including facilitation payments)
  • Money laundering and CTF
  • Fraud (kickbacks, conflicts of interest, asset misappropriation)
  • Trade sanctions and anti-competitive practices
  • Modern slavery and human rights
  • Fair treatment of employees

3. The key functional challenges

  • Managing the behaviours of those outside of your organisation
  • Managing the behaviours of those inside your organisation
  • Commonly misunderstood areas
  • Common ‘choke points’

4. The experiences of others

  • Case studies with exploration of what could have prevented the issues
  • E&C issues seldom occur alone, different ‘personality types’ of E&C violations
  • How to manage unethical and extortive demands

5. Benchmarking your E&C programme

  • Measuring against regulatory standards, including the Hallmarks of Effective Compliance
  • Technology and benchmarking tools
  • What should be considered ‘Best Practice’
  • Local requirements versus extraterritorially enforced regulations

6. Prevention – Ethical culture

  • Tone from the top (including pros and cons of Zero Tolerance)
  • Communication and training
  • E&C team staffing and resources
  • Risks E&C should own and those the business should own
  • Change management in the E&C context

7. Prevention – Operational structure

  • The Code of Conduct and certifications
  • Third-party management and due diligence
  • Risk assessment in the E&C context
  • E&C’s role in strategy and addressable market
  • Separation of duties
  • Books & records

8. Detection – reporting and investigations

  • Reporting line options and non-retaliation
  • Investigative considerations and frameworks (including evidence handling)
  • Deferred prosecutions, voluntary disclosure and cooperating with the authorities

9. Detection – monitoring

  • AI and data analytics
  • Scope of monitoring (audit, E&C team, external advisory support)
  • Ethics of employee monitoring (including social media)

10. Responding in an E&C crisis

  • Intelligence-led approaches to investigations
  • Dawn raid protocols
  • Crisis response
  • Crisis communications
  • Recovery-led approach to E&C crises
  • Chief Compliance and Ethic Officer
  • Internal Auditor, Forensic Auditor
  • Risk Management Officer
  • Operations and frontline staff managing E&C issues
  • CFO, Finance Manager, Accountant
  • Human Resource Manager

Presentation, group discussion, case study. Multimedia, interaction and template sharing.

Rupert Evill

Rupert Evill

Rupert has 18 years of global experience across more than 30 sectors. He has deep expertise in managing frontline risks, delivering immersive training, conducting intelligence-gathering operations, investigations and managing acute crises. Before founding Ethics Insight, he spent 13 years working for Control Risks, focusing on training, investigations, incident response, and ethics & compliance advisory support. Rupert started his career in counter-terrorism and political risk analysis.

Rupert has augmented his professional experience with a Postgraduate Diploma with Merit in Behavioural Analysis and Investigative Interviewing, becoming an accredited trainer with The Emotional Intelligence Academy. He is a Certified Fraud Examiner. Rupert was also one of only 1% of employees selected for training – by an organization with more person-hours of crisis response experience than any other public or private entity globally – to respond to kidnap, threats, and extortions. He passed selection and was subsequently deployed in the crucial first 24hrs on missions across Asia.

Rupert uses this training and frontline experience – having seen what works and what doesn’t – to inform practical and effective guidance to help organizations better predict, prevent, adapt and respond to challenges. Rupert has operated in more than 40 countries. He is now based in Singapore and has lived in Asia for over 9 years, after working across Europe for a decade. Examples of Rupert’s recent experience and credentials include:

  • Achieved a 98% positive rating from 700+ people across 50 workshops over the last 4 years.
  • Developed the Ethics Insight benchmarking and implementation platform, which, simplifies E&C, and on average, saves clients 6-12 months and 80% on costs.
  • Gathered hard-to-get intelligence and conducting sensitive investigations in high-risk scenarios (including hostile state actors), without compromise.
  • Expert trainer in risk assessment techniques, deception detection, non-confrontational investigative and intelligence-gathering interview techniques and forensic emotional analysis.
  • Responded to and investigated (where necessary) 40 whistle-blower allegations across 20 countries in the past year.

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