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Workshops and talks – engagement topics

Engagement topics

Potential engagement topics include:-


  • Shaping your Compliance organisation: Defining roles and responsibilities
  • Role Profiles for local Compliance Functions: Exploring need for risk detection and assessment capabilities, targets and reporting lines for local Compliance Officers, balancing need for external Compliance Know-How and knowledge of business
  • Policies Review

Compliance Risks

  • Risk Mapping:  Conducting initial interviews throughout the organisation to identify potential key Compliance risks across different regions and business areas
  • Risk Assessment:  defining tasks, mechanisms and workflows to capture risks and assess and communicate them at the appropriate level
  • Helpline:  Considering available communications channels for Compliance concerns and  assessing fit within Company culture of additional tools
  • Remediation Packages:  Design of Remediation Framework generally; Allocating responsibilities between different functions including Management and Legal;  Co-ordination of specific remediation scenarios


  • Specific aspects of investigations:  Conducting interviews, liaising with external (fraud) investigators/(legal) advisors and management internally, summarising the gathered evidence

Compliance Training and Awareness Topics

  • Compliance Training Concepts:  Based on key risks, identifying training groups and training messages
  • Workshops with local Management:  Responsibilities for Compliance and introducing the necessary elements in the local organisation
  • Defining integrated Compliance concepts: aligning Compliance efforts and the overall strategy:  workshops on upcoming challenges and business practices that amount to a positive stance in the market vis a vis such challenges; addressing common business concerns vis-a-vis compliance through specific provisions in business plans, strategy or marketing concepts
  • Tone from the top:  Workshops to break down messages from top management into specific action points; bottom-up review and working out key learning messages to be conveyed into the  organisation
    Compliance Awareness:  Workshops on Risk Appetite, changing environments and market reputation, positioning vis-a-vis competitors