Compliance Investigations

Conducting fair, thorough and legally compliant compliance investigations

Course Overview

This course provides learners with an understanding of how to plan and conduct compliance investigations into regulatory breaches, policy violations, whistleblowing disclosures and misconduct. Learners will explore investigation principles, evidence gathering, interviewing techniques, documentation requirements, fairness obligations and report writing. The course is suitable for compliance professionals, HR practitioners and managers with investigation responsibilities.

Learning Outcomes

• Understand the principles of fair and effective compliance investigations
• Plan and scope a compliance investigation appropriately
• Apply evidence gathering techniques including document review and data analysis
• Conduct investigation interviews fairly and compliantly
• Maintain investigation confidentiality and manage conflicts of interest
• Write clear and objective investigation reports
• Escalate findings appropriately and implement remediation actions

Course Structure (3 topics, 9 lessons)