Creating & Managing a Compliance Team


(1 week Residential)

This module develops the knowledge and skills required to ensure effective compliance with policies and procedures within an organisation and the development of a suitably trained Compliance Team.

Course Aims

  • Outline the principles and procedures necessary to carry out the compliance function
  • Identify the key procedures required in an organisation to manage and prevent fraud
  • Outline and evaluate the policies and procedures in an organisation
  • Understand and apply knowledge of investigation procedures and interviewing techniques
  • Prepare Response Plans to identify suitable plans and actions to counter fraud and the likely outcomes of fraud
  • Risk Assess core business areas

This course is run by the Centre for Study of Organised Crime which has a broad range of continuing professional development (CPD) short courses. These are accredited by University of Buckingham in the form of certificate of attendance.


  • The role and purpose of the compliance function within regulated and public organisations
  • Alternative approaches to compliance
  • Control procedures
  • Organisational policies in relation to fraud
  • Risk assessments
  • Investigation processes and evidence gathering
  • Organisation of evidence and quality control
  • Investigative interviewing – fact finding in a business environmen

Who This Course is for

The course is ideal for professionals in compliance, risk management, corporate governance, HR, legal, auditing, business ownership, and consulting, aiming to enhance skills in building and managing effective compliance teams. It focuses on team building, regulatory adherence, and fostering a compliance culture within organizations.


Course Team

Professor David M J Graves

David M J Graves

Managing Director

Gerald Doyle

Director of Financial Pathways

Dr. Chris Allen

Senior Police Practice Tutor

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