Role-Based Programme
RB1654

AI-Powered Ethics, Policy & Compliance Monitoring

Smarter Policy Governance, Conduct Oversight & Compliance Assurance

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Duration
16 Hours
Level
Intermediate
Delivery
Instructor-Led
Format
Capability Training

Programme Objectives

  • Apply AI across ethics, policy, and compliance-monitoring activities including policy review, conduct monitoring, issue analysis, control checks, and reporting.
  • Use AI-assisted techniques to analyse policies, codes of conduct, monitoring data, disclosures, complaints, and compliance evidence more efficiently.
  • Develop structured workflows for policy lifecycle management, ethics reviews, compliance monitoring, exception handling, remediation, and escalation.
  • Analyse compliance and conduct information to identify recurring themes, policy gaps, emerging risks, overdue actions, and areas requiring deeper review.
  • Apply responsible AI practices covering confidentiality, fairness, employee privacy, sensitive allegations, source verification, and human judgement.

Tools covered

Generative AI AssistantsDocument IntelligencePolicy AnalysisCompliance MonitoringEthics Case AnalysisSpreadsheet AnalysisRegulatory ResearchIssue & Action TrackingReporting AssistanceWorkflow Automation

Who should attend

  • Ethics & Compliance Professionals
  • Compliance Monitoring Professionals
  • Policy Governance Professionals
  • Corporate Ethics Professionals
  • Compliance Managers
  • Compliance Officers
  • Legal & Compliance Executives
  • Governance Professionals
  • Code of Conduct Programme Managers
  • Risk & Compliance Analysts
  • Policy Management Professionals
  • Investigation Support Professionals
  • Compliance Assurance Professionals
  • Legal & Compliance Team Leads

Prerequisites & Participant Readiness

  • Working knowledge of ethics, compliance, governance, policy, or monitoring activities
  • Familiarity with codes of conduct, organisational policies, compliance reviews, or issue tracking is helpful
  • Basic spreadsheet and document-analysis skills
  • Basic awareness of Generative AI is helpful
  • No programming knowledge required

TOC Modules

Concepts
  • Understanding Generative AI, analytics, document intelligence, and automation in ethics and compliance
  • Identifying AI applications across policy governance, conduct monitoring, review, and reporting
  • Understanding AI assistance versus Ethics, Legal, Compliance, HR, and management judgement
  • Recognising risks related to bias, confidentiality, unsupported allegations, and incomplete evidence
Practical activities
  • Mapping the ethics and compliance-monitoring lifecycle to AI-assisted activities
  • Identifying repetitive documentation, review, and monitoring tasks suitable for AI support
  • Comparing traditional and AI-assisted compliance-monitoring workflows

Scenarios

Ethics Complaint to Structured Compliance Review

Employee Concern → AI-Assisted Case Summary → Triage → Policy Mapping → Evidence Requirements → Escalation → Review Outcome → Remediation Tracking

Participants use AI to organise a simulated ethics concern, identify relevant policy areas, structure case information, prepare neutral review questions, and support appropriate escalation while preserving confidentiality and human judgement.

Policy & Monitoring Data to Compliance Improvement Plan

Policies + Monitoring Results + Disclosures + Exceptions → AI Analysis → Recurring Themes → Policy Gaps → Risk Areas → Remediation Actions → Management Report

Participants consolidate sample policy and monitoring information, identify recurring compliance themes and governance gaps, and prepare a management-ready improvement plan with actions, owners, and priorities.

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