The compliance system, in particular, is a set of policies, procedures and rules related to compliance within a given organisation. In order for the system to be effective, it is necessary to take specific actions to facilitate reaching this goal. First of all, it is necessary to keep the system up-to-date and to ensure that members of the organisation observe the rules of the compliance system, which requires the involvement of the management, as well as the employees, co-workers and business partners.

This raises the question: how to ensure compliance by the members of the organisation? One solution is to provide trainings that specifically include information on the rules binding within the organisation.

Compliance trainings should be tailored to the organisation’s profile and the type of audience, take into account their position within the organisation and be focused on the practical aspects of the functioning and observing the principles of the implemented compliance system. These trainings are a tool to facilitate the education of the organisation’s employees on the legal responsibility for taking or desisting from certain actions, and translate to compliance in the organisation, in particular they:

• constitute a means of communicating changes in the organisation’s applicable regulations to the employees,
• constitute a guarantee that the members of the organisation carry out their duties in accordance with the applicable regulations, thus reducing the risk of breaches in the organisation,
• provide a source of valuable feedback on unidentified risks,
• increase the staff awareness of emerging risks,
• help build the compliance culture in the organisation.

Compliance trainings include:

• one-off trainings – aimed at understanding the issue of the compliance system and the binding regulations and increasing the staff awareness of existing risks,
• periodical trainings – regular trainings taking place over a specific period of time, aimed at promoting and building a long-term compliance culture in the organisation,
• ad hoc trainings – held in the event of changes to the existing regulations, e.g. in the event of changes to the internal policies, procedures and principles, the generally applicable law, changes to the organisation’s profile, etc.

Depending on the regulations the organisation is required to comply with, compliance trainings may focus on specific issues, e.g.:

• AML – training on counteracting money laundering,
• GDPR – training on the collection and processing of personal data,
• bullying prevention – training on bullying situations, aimed at eliminating or minimising the occurrence of cases of bullying in the organisation.

Please read our other articles on compliance:

System compliance – VI – Risk assessment

Compliance – part IV – Compliance officer

Compliance – part III – Who is affected by the compliance system and how it is implemented.

Compliance – part II – compliance system

Compliance – part I – introduction