How to develop an effective compliance training programme
In today’s corporate environment, businesses are under more pressure than ever to implement robust compliance programmes. Regulatory bodies, investors and the public are scrutinising corporate governance and ethical practices more closely, expecting companies across all industries – not just those that are heavily regulated – to prioritise compliance. Moreover, it’s no longer just a few individuals within a company who bear the responsibility for compliance. Employees at every level are expected to understand and uphold the organisation’s ethical standards and compliance obligations.
The shift towards employee empowerment highlights the need for a strong compliance programme with solid controls. However, as part of this compliance programme, effective ethics and compliance training is essential to equip employees with the skills and knowledge they need to make responsible decisions aligned with regulatory requirements and ethical standards.
What is compliance training?
A compliance training programme can take various forms – ranging from online modules and webinars to in-person workshops and annual refreshers. At its core, a compliance training programme should foster a corporate culture where employees are encouraged to do the right thing and understand their role in upholding compliance standards. Beyond merely satisfying regulatory demands, compliance training offers a strategic opportunity to reinforce the company’s commitment to key ethical and governance principles. By embedding these values into the training, businesses can promote a consistent message on issues critical to their success.
Overcoming common compliance training challenges
Building an effective compliance training programme often feels like tackling two separate challenges: making the content relevant and making it engaging. Many companies view these as distinct hurdles and may attempt to solve them in isolation. However, the key to creating truly engaging compliance training is directly tied to its relevance.
When training content is genuinely relevant—addressing the specific compliance risks and issues that employees face in their roles—it naturally becomes more engaging. Employees are far more likely to connect with training that feels applicable to their daily responsibilities, rather than training that is distant, theoretical or far more relevant to sectors seen as higher risk than their own. Attempting to boost engagement with gamified elements or interactive features is far less effective if the training lacks substance and practical relevance. However, when compliance training is tailored to address actual, company-specific challenges, it does not just check a regulatory box; it equips employees with the tools they need to make informed and ethical decisions.
To address these challenges, compliance teams should consider integrating the following approaches into their training programmes:
1. Take a risk-based approach
An effective ethics and compliance training programme begins with a comprehensive understanding of the company’s risk landscape. The first step to an effective compliance training programme is therefore not the training itself, but the company’s risk management strategy. Ensure you conduct a thorough risk assessment or risk mapping exercise to identify the most pressing compliance risks your business faces, as well as the functions which are most exposed to compliance risks. These insights should then be used to identify training needs. Companies should choose topics which are most relevant for employees to understand, and ensure the training includes scenarios and case studies which allow employees to navigate specific risks posed to the business. When developing a training programme, consider providing focused training for roles that are particularly exposed to compliance risks, such as sales, procurement or finance. By tailoring training to the distinct challenges of each role, companies can provide employees with practical skills that directly address the risks they encounter.
2. Set concrete learning objectives
Compliance training has long struggled with the reputation of being a “tick-box exercise.” To counter this, set clear, measurable learning objectives rooted in the company’s understanding of business risks. An effective compliance training programme ensures that all employees understand their responsibilities in upholding compliance, and how various integrity issues apply to their roles. Design content that not only explains regulatory requirements but also demonstrates how these rules apply to daily operations. Avoid legal jargon and overly theoretical explanations, focussing instead on practical applications and real-world examples relevant to the business’s risk landscape. Adopting employee feedback mechanisms and quizzes can also help ensure these objectives are being met, testing employee understanding to identify knowledge gaps and refining training content over time to ensure it remains relevant.
3. Foster an ethical corporate culture
Effective compliance requires more than knowledge of rules and regulations – it relies on a strong ethical culture embedded in the company’s mission and daily practices. Compliance training can play a vital role in building this culture by instilling core values and encouraging employees to act with integrity.
Leadership plays a crucial role in this effort. A strong “tone from the top” reinforces the importance of ethical behaviour and signals to employees that compliance is a priority. By using compliance training as a platform to communicate ethical expectations and empower employees to make responsible choices, companies can nurture an environment where speaking up and acting ethically is the norm. Embedding an ethical decision-making tool into compliance training is an effective way to reinforce key compliance principles. This helps empower staff to speak up if something feels wrong, not to proceed if it seems unethical and to consult someone who knows if they are unsure.
Additionally, consider incorporating global and cultural nuance into training programmes, especially for companies with a multinational workforce. Acknowledging regional differences and adapting content to be clear, accessible and culturally relevant ensures the training resonates with all employees, no matter where they are based.
4. Make compliance training a strategic tool
A well-crafted ethics and compliance training programme is a strategic tool for building a resilient, ethical organisation. To go beyond regulatory requirements, the training should be integrated into the broader compliance framework, aligning with risk management strategies, corporate policies and the company’s code of conduct. This may involve consistently embedding bite-sized compliance elements and key messages into employee communications and wider training efforts. An effective compliance programme not only reinforces the company’s policies but also provides guidance on their practical applications. This is where generic off-the-shelf training often falls short, as it lacks the strategic alignment needed to truly embed a company’s brand and values into its training.
5. Encourage ongoing engagement and continuous learning
Compliance training shouldn’t be a one-off event but rather part of a continuous learning process. To keep employees engaged and up to date on evolving risks, consider implementing ongoing training initiatives as part of the wider compliance training programme. Microlearning modules and refresher courses can help reinforce key concepts and ensure employees retain critical information over time, especially as the business and regulatory landscape changes. Making continuous learning engaging and impactful means tailoring the training journey to each role, as new joiners, senior leaders and high-risk functions each have unique training requirements that evolve with their responsibilities and exposure levels.
Incorporating an element of interactivity, through the use of case studies and practical scenarios, can make training more dynamic and memorable. Companies looking for more unique ways to reinforce training may opt for gamified elements, for example using tools such as compliance card games to reinforce key learning objectives, encourage dialogue between teams and foster an open culture around compliance and ethical issues.
How GoodCorporation can help
In a business landscape where ethical practices and corporate governance are under increased scrutiny, a robust compliance training programme is essential. GoodCorporation offers a range of ethics and compliance training programmes including, in-person training, workshops, webinars and e-learning programmes to suit different needs and budgets. Our training programmes are designed by subject matter experts, drawing on our extensive knowledge of the compliance risks and challenges businesses face across multiple industries and sectors. We work with clients to provide tailor-made programmes with applicable scenarios to make sure training is relevant and engaging. To learn more about how GoodCorporation can help you build an effective training programme, visit our e-learning and training services webpage or contact us directly.