Role-Based Programme
RB1653

AI-Powered Ethics, Policy & Compliance Monitoring

Smarter Policy Review, Issue Detection & Compliance Oversight

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Duration
8 Hours
Level
Basic
Delivery
Instructor-Led
Format
Workshop

Programme Objectives

  • Understand how AI can support Ethics, Policy, and Compliance Monitoring across policy review, issue identification, obligation tracking, and reporting.
  • Apply AI-assisted techniques to analyse policies, codes of conduct, compliance records, monitoring results, and issue logs.
  • Use structured prompting for policy interpretation support, ethics-case review, compliance checks, exception analysis, and management reporting.
  • Explore AI-supported methods for identifying recurring compliance themes, policy gaps, overdue actions, and potential conduct concerns.
  • Build responsible AI-assisted monitoring workflows while maintaining confidentiality, fairness, accuracy, professional judgement, and human oversight.

Tools covered

Generative AI AssistantsAI Search & ResearchDocument AIPolicy Analysis AISpreadsheet & Data AnalysisCompliance Monitoring AIIssue & Action TrackingWorkflow Automation

Who should attend

  • Ethics & Compliance Executives
  • Compliance Monitoring Professionals
  • Policy & Governance Professionals
  • Ethics Officers
  • Compliance Analysts
  • Legal & Compliance Executives
  • Code of Conduct Professionals
  • Governance, Risk & Compliance Professionals
  • Internal Control Professionals
  • Risk & Compliance Managers
  • Policy Management Professionals
  • Corporate Governance Professionals
  • Internal Audit Professionals
  • Ethics, Policy & Compliance Team Leads

Prerequisites & Participant Readiness

  • Basic understanding of ethics, compliance, corporate policies, or governance activities
  • Familiarity with policies, codes of conduct, compliance reviews, issue logs, or monitoring reports is helpful
  • Basic computer, spreadsheet, and document-handling skills
  • No AI or programming knowledge required
  • No previous AI training required

TOC Modules

Concepts
  • Understanding Generative AI and its relevance to ethics, policy, and compliance work
  • Identifying AI applications across policy review, monitoring, issue analysis, and reporting
  • Understanding AI assistance versus compliance, legal, and management judgement
  • Recognising limitations such as hallucinations, bias, missing context, and unsupported conclusions
Practical activities
  • Mapping a typical Ethics, Policy & Compliance Monitoring workflow
  • Identifying repetitive and information-intensive activities suitable for AI assistance
  • Comparing a traditional monitoring task with an AI-assisted approach

Scenarios

Policy Review to Compliance Monitoring Plan

Policy → AI-Assisted Summary → Key Requirements → Responsibilities → Controls → Monitoring Questions → Exception Criteria → Review Plan

Participants use AI to analyse a sample policy, identify key requirements and responsibilities, and create a structured compliance-monitoring plan for authorised review.

Ethics Issue to Corrective Action & Reporting

Reported Concern → Factual Summary → Evidence Gaps → Follow-Up Questions → Review → Corrective Actions → Tracking → Management Report

Participants use AI to structure a sample ethics or compliance issue, identify information gaps, support follow-up, and prepare a neutral management-ready summary while retaining all final determinations with authorised personnel.

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