This instructor-led training program provides managers with a comprehensive understanding of business ethics, corporate compliance, anti-bribery and anti-corruption, fraud prevention, whistleblowing, conflicts of interest, Anti-Money Laundering (AML), internal controls, management accountability, management override of controls, and HR, employment and immigration compliance.

The program is designed to strengthen managers' awareness of compliance obligations, ethical decision-making, risk identification, escalation, and accountability within the organization

Business Ethics, Code of Conduct & Compliance Culture

Business Ethics & Compliance Fundamentals

• Business ethics and compliance fundamentals
• Ethics versus compliance
• Ethical culture and corporate values
• Ethical decision-making frameworks
• Ethics in day-to-day management decisions
• Balancing business objectives with ethical responsibilities
• Manager responsibilities in maintaining an ethical workplace

Code of Conduct & Professional Workplace Behavior

• Code of Conduct principles and responsibilities
• Professional workplace conduct
• Respectful and responsible workplace behavior
• Confidentiality and responsible use of company information
• Appropriate use of company resources
• Gifts, hospitality and business courtesies
• Reporting suspected violations
• Manager responsibilities for reinforcing the Code of Conduct

Anti-Bribery & Anti-Corruption (ABC)

• Bribery and corruption fundamentals
• Direct and indirect bribery
• Facilitation payments and kickbacks
• Gifts, hospitality and entertainment
• Political and charitable contributions
• Third-party and intermediary risks
• Due diligence and approval requirements
• Books, records and transparency
• ABC red flags
• Manager responsibilities and escalation

Conflict of Interest

• Understanding conflicts of interest
• Actual, potential and perceived conflicts
• Financial and personal conflicts
• Family and related-party relationships
• Outside employment and business interests
• Vendor and supplier relationships
• Gifts and hospitality-related conflicts
• Disclosure, mitigation and management
• Manager responsibilities

Speak-Up Culture & Whistleblowing

• Purpose of whistleblowing programs
• Internal and external reporting channels
• Anonymous and confidential reporting
• Protection against retaliation
• Handling employee concerns
• Escalation responsibilities
• Manager responsibilities when concerns are raised
• Building an effective speak-up culture

Practical Activities

• Ethical decision-making scenarios
• ABC and gifts/hospitality case studies
• Conflict-of-interest scenarios
• Speak-up and escalation exercises

Fraud, AML & Internal Controls

Fraud Awareness & Prevention

• Understanding corporate and occupational fraud
• Common types of fraud
• Procurement and purchasing fraud
• Expense and reimbursement fraud
• Financial statement fraud
• Vendor and customer fraud
• Fraud indicators and red flags
• Fraud prevention and detection controls
• Reporting and escalation of suspected fraud
• Management responsibilities

Anti-Money Laundering (AML) Awareness

• Money laundering fundamentals
• Stages of money laundering
• Common money laundering techniques
• Terrorist financing awareness
• AML compliance responsibilities
• Customer and counterparty risk
• KYC, CDD and EDD awareness
• Beneficial ownership
• Transaction monitoring awareness
• AML red flags
• Reporting and escalation responsibilities

Internal Controls & Compliance Risk Management

• Purpose and importance of internal controls
• Control environment and culture
• Preventive, detective and corrective controls
• Segregation of duties
• Authorization and approval controls
• Access and information security controls
• Documentation and record keeping
• Compliance monitoring
• Compliance risk assessment
• Identifying control weaknesses
• Remediation and corrective actions

Management Override & Control Failures

• Understanding management override
• Management override as a fraud and compliance risk
• Common forms of control override
• Bypassing approval and authorization controls
• Circumventing segregation of duties
• Override of policies and procedures
• Financial reporting and fraud risks
• Red flags and monitoring
• Escalation requirements
• Management accountability

Practical Activities

Manager Accountability, Employment Compliance & Integrated Application

Manager Accountability & Compliance Leadership

• Management's role in compliance
• Leading by example
• Manager responsibilities under compliance programs
• Identifying compliance risks
• Monitoring employee conduct
• Responding to employee concerns
• Escalating compliance issues
• Documentation and reporting responsibilities
• Accountability for control failures
• Building an ethical and compliant team culture

HR & Employment Compliance

• Workplace and employment compliance fundamentals
• Equal opportunity and non-discrimination
• Workplace harassment and inappropriate conduct
• Recruitment and hiring compliance
• Employee documentation and record keeping
• Employee privacy and confidentiality
• Disciplinary procedures and fair treatment
• Grievances and complaint handling
• Termination and separation considerations
• Retaliation and whistleblower protection
• Manager responsibilities

Immigration Compliance Awareness

• Immigration compliance fundamentals
• Work authorization and visa compliance
• Hiring and onboarding of foreign nationals
• Immigration documentation and record keeping
• Employee mobility and international assignments
• Cross-border employment considerations
• Immigration compliance risks
• Escalation requirements
• Manager responsibilities

Integrated Compliance Management Workshop

• Identifying compliance risks
• Ethics versus business pressure
• Bribery and corruption scenarios
• Fraud and financial misconduct scenarios
• AML and counterparty-risk scenarios
• Conflict-of-interest scenarios
• Internal-control and management-override scenarios
• Employee concerns and escalation
• HR and employment compliance scenarios
• Immigration compliance considerations
• Manager decision-making and accountability

Case Studies, Knowledge Assessment & Action Planning

ProgNXT Certification