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Compliance Management Diploma

Level 3 / ABC Awards / ODL55

The Compliance Management Level 3 Diploma in Compliance Management can prepare the student for taking up a new compliance management role.

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online course

pay in full

monthly payments

WAS £625.00

NOW £468.75 or only £325.50 initial deposit

course duration: 200 hrs

study type: online

Course Description

It is also ideal for those who would like to develop and enhance their skills within an existing compliance management role.

The course examines changes in compliance management practice against the context of the changes in the UK, EU, US and global economy, and will be of particular interest to those needing to practice compliance management skills on a day-to-day basis.

It provides detailed learning on a range of relevant compliance management topics, combining theoretical background with the practical tools, compliance management techniques and compliance communication formats needed for everyday compliance managers.

Throughout, the student is encouraged to use the ideas both in the context of their own experience and through a case study. Materials can be studied online or there is also the option to have the printed materials delivered for an additional charge of £65.

Course Content

1. What is Compliance Management?

The first module will introduce the student to modern concepts of compliance management (CM) skills, and how these can change and develop within a business management context. It examines the way CM evolves, and the compliance manager's role in this process. The module concludes a range of guidelines in practical compliance mandates, looking at effective CM.

2. The individual as a Compliance Manager

In this module the student will focus on some essential core skills for a compliance manager, with tips and techniques for successful compliance management, compliance goal-setting, compliance problem-solving, effective compliance resolution meetings, compliance interviewing and giving or receiving compliance related feedback. Relevant tools are explored, including compliance landscape analysis.

3. Compliance Structure and Environment

This module includes an assessment of different features and types of compliance organisation structure and the various environments within which compliance organisations operate. This module assesses recent trends and the move towards the use of compliance integration, and also looks at how to analyse their effects to anticipate a compliance organisation future evolution.

4. Managing Compliance Processes

This module takes an in-depth look at the internal features of a compliance organisation, including planning and strategy, compliance costs and budgets and the benefits of understanding the compliance processes of a business. Practical advice is provided on facilitation of workshops, in the context of compliance process improvement.

5. Managing Compliance Projects

The module helps students to answer 'What is a compliance project'; this is achieved by providing a step-by-step breakdown of the key phases for managing compliance projects in order for them to be a success. It provides advice on financing compliance projects, and on quality compliance assessment. The module provides guidance on compliance project team roles and effective brainstorming for problem-solving.

6. Managing Compliance Diversity

This module embraces the increasingly diverse UK, EU, US and global compliance mandates and the business case for managing by diversity-unification principles. Key compliance issues and legislation will be examined, including common challenges and potential conflicts, diverse compliance themes of international regulatory styles etc.

7. Compliance and Change

Compliance and change may be regarded as a 'chicken and egg principle' – which comes first? Accordingly this module includes a review of compliance-caused/affecting organisational changes, managing the compliance-change process, dealing with individual resistance and cultural issues, the use of coaching, mentoring and facilitation development.

8. Quality and Compliance

If you cannot size it, you cannot measure it, and if you cannot measure it, you cannot improve it – this is a quality and compliance axiom. The use of compliance goals, related compliance performance indicators, service level agreements and benchmarking will be considered, along with a review of quality-compliance management improvement.

9. Audit and Compliance

If you cannot audit it, you cannot measure it, and if you cannot measure it, you cannot improve it – this is an audit and compliance axiom. The use of audit objectives, related audit-compliance performance indicators, service level agreements and benchmarking will be considered, along with a review of audit-compliance management improvement.

10. Ethics and Compliance

This module examines recent trends in business ethics, corporate governance, environmental issues and social responsibility. Practical advice is provided with tips and guidance on making ethics and compliance presentations. Finally, the student is taken through a course review to reflect on their learning and also to help them to set career goals for their next steps.

Previous Knowledge

No previous knowledge or experience is essential to study this course.

Assessment

Final online multiple choice examination counts for 100% of the final grade. Throughout the course there are ten SAPs (coursework) and a thesis. The course clearly states that this is not mandatory to complete as it has no bearing on the final grade.

We do suggest that students complete these as this will not only assist them in examination preparation but also will give the student the skill set should they wish to continue their studies (continuous professional development) at a higher level.

Awarding Organisation

At the end of this course successful learners will receive a Certificate of Achievement from ABC Awards and a Learner Unit Summary (which lists the details of all the units the learner has completed as part of the course). 

The course has been endorsed under the ABC Awards Quality Licence Scheme. This means that Oxford Learning College has undergone an external quality check to ensure that the organisation and the courses it offers, meet certain quality criteria. The completion of this course alone does not lead to an Ofqual regulated qualification but may be used as evidence of knowledge and skills towards regulated qualifications in the future. 

The unit summary can be used as evidence towards Recognition of Prior Learning if you wish to progress your studies in this sector. To this end the learning outcomes of the course have been benchmarked at Level 3 against level descriptors published by Ofqual, to indicate the depth of study and level of demand/complexity involved in successful completion by the learner.

 The course itself has been designed by Oxford Learning College to meet specific learners’ and/or employers’ requirements which cannot be satisfied through current regulated qualifications. ABC Awards endorsement involves robust and rigorous quality audits by external auditors to ensure quality is continually met. A review of courses is carried out as part of the endorsement process.

Support

This course offers 12 Months Tutor Support. Tutors are available to answer student questions relating to course materials and to comment on the assignments that are sent in to state how well students have understood the unit content.

course description

Course Description

It is also ideal for those who would like to develop and enhance their skills within an existing compliance management role.

The course examines changes in compliance management practice against the context of the changes in the UK, EU, US and global economy, and will be of particular interest to those needing to practice compliance management skills on a day-to-day basis.

It provides detailed learning on a range of relevant compliance management topics, combining theoretical background with the practical tools, compliance management techniques and compliance communication formats needed for everyday compliance managers.

Throughout, the student is encouraged to use the ideas both in the context of their own experience and through a case study. Materials can be studied online or there is also the option to have the printed materials delivered for an additional charge of £65.

previous knowledge required

Previous Knowledge

No previous knowledge or experience is essential to study this course.

assessment

Assessment

Final online multiple choice examination counts for 100% of the final grade. Throughout the course there are ten SAPs (coursework) and a thesis. The course clearly states that this is not mandatory to complete as it has no bearing on the final grade.

We do suggest that students complete these as this will not only assist them in examination preparation but also will give the student the skill set should they wish to continue their studies (continuous professional development) at a higher level.

support

Support

This course offers 12 Months Tutor Support. Tutors are available to answer student questions relating to course materials and to comment on the assignments that are sent in to state how well students have understood the unit content.

modules

Course Content

1. What is Compliance Management?

The first module will introduce the student to modern concepts of compliance management (CM) skills, and how these can change and develop within a business management context. It examines the way CM evolves, and the compliance manager's role in this process. The module concludes a range of guidelines in practical compliance mandates, looking at effective CM.

2. The individual as a Compliance Manager

In this module the student will focus on some essential core skills for a compliance manager, with tips and techniques for successful compliance management, compliance goal-setting, compliance problem-solving, effective compliance resolution meetings, compliance interviewing and giving or receiving compliance related feedback. Relevant tools are explored, including compliance landscape analysis.

3. Compliance Structure and Environment

This module includes an assessment of different features and types of compliance organisation structure and the various environments within which compliance organisations operate. This module assesses recent trends and the move towards the use of compliance integration, and also looks at how to analyse their effects to anticipate a compliance organisation future evolution.

4. Managing Compliance Processes

This module takes an in-depth look at the internal features of a compliance organisation, including planning and strategy, compliance costs and budgets and the benefits of understanding the compliance processes of a business. Practical advice is provided on facilitation of workshops, in the context of compliance process improvement.

5. Managing Compliance Projects

The module helps students to answer 'What is a compliance project'; this is achieved by providing a step-by-step breakdown of the key phases for managing compliance projects in order for them to be a success. It provides advice on financing compliance projects, and on quality compliance assessment. The module provides guidance on compliance project team roles and effective brainstorming for problem-solving.

6. Managing Compliance Diversity

This module embraces the increasingly diverse UK, EU, US and global compliance mandates and the business case for managing by diversity-unification principles. Key compliance issues and legislation will be examined, including common challenges and potential conflicts, diverse compliance themes of international regulatory styles etc.

7. Compliance and Change

Compliance and change may be regarded as a 'chicken and egg principle' – which comes first? Accordingly this module includes a review of compliance-caused/affecting organisational changes, managing the compliance-change process, dealing with individual resistance and cultural issues, the use of coaching, mentoring and facilitation development.

8. Quality and Compliance

If you cannot size it, you cannot measure it, and if you cannot measure it, you cannot improve it – this is a quality and compliance axiom. The use of compliance goals, related compliance performance indicators, service level agreements and benchmarking will be considered, along with a review of quality-compliance management improvement.

9. Audit and Compliance

If you cannot audit it, you cannot measure it, and if you cannot measure it, you cannot improve it – this is an audit and compliance axiom. The use of audit objectives, related audit-compliance performance indicators, service level agreements and benchmarking will be considered, along with a review of audit-compliance management improvement.

10. Ethics and Compliance

This module examines recent trends in business ethics, corporate governance, environmental issues and social responsibility. Practical advice is provided with tips and guidance on making ethics and compliance presentations. Finally, the student is taken through a course review to reflect on their learning and also to help them to set career goals for their next steps.

awarding organisation

Awarding Organisation

At the end of this course successful learners will receive a Certificate of Achievement from ABC Awards and a Learner Unit Summary (which lists the details of all the units the learner has completed as part of the course). 

The course has been endorsed under the ABC Awards Quality Licence Scheme. This means that Oxford Learning College has undergone an external quality check to ensure that the organisation and the courses it offers, meet certain quality criteria. The completion of this course alone does not lead to an Ofqual regulated qualification but may be used as evidence of knowledge and skills towards regulated qualifications in the future. 

The unit summary can be used as evidence towards Recognition of Prior Learning if you wish to progress your studies in this sector. To this end the learning outcomes of the course have been benchmarked at Level 3 against level descriptors published by Ofqual, to indicate the depth of study and level of demand/complexity involved in successful completion by the learner.

 The course itself has been designed by Oxford Learning College to meet specific learners’ and/or employers’ requirements which cannot be satisfied through current regulated qualifications. ABC Awards endorsement involves robust and rigorous quality audits by external auditors to ensure quality is continually met. A review of courses is carried out as part of the endorsement process.