Confirm authority and scope
Draft investigation terms of reference and explain the reasoning behind your approach.
ONLINE · COMPLIANCE OFFICERS TRACK
Internal Investigations: Planning & Practice
Prepare an authorized investigation plan and a defensible findings structure. Build the skills through worked examples, guided exercises and a practical assignment.
6 connected modules1 integrated case1 practical assignment
IS THIS FOR ME?
Build capability where your work needs it.
Compliance and investigation coordinators working within an authorized mandate and appropriate specialist support.
Recommended starting knowledge
Familiarity with your organization’s compliance responsibilities and business processes is helpful. Bring a development objective; we discuss suitability and preparation before enrolment.
WHAT YOU WILL BE ABLE TO DO
Leave with a workable approach.
Handle evidence appropriately
Create an evidence register and explain the reasoning behind your approach.
Evaluate and report findings
Write a findings section and explain the reasoning behind your approach.
Connect decisions to follow-up
Prepare a follow-up handover and explain the reasoning behind your approach.
THE FULL SYLLABUS
Develop your approach, step by step.
Open a module to see the topics and practical work.
01Confirm authority and scope
Draft investigation terms of reference.
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Confirm authority and scope
Draft investigation terms of reference.
Topics we work through
- Mandate, objectives and conflicts.
- Legal, employment and specialist involvement.
- Apply these concepts to the course case and discuss evidence, assumptions and practical constraints.
Practice: Draft investigation terms of reference. Record your choices and identify what needs further verification.
02Plan a fair process
Prepare an investigation workplan.
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Plan a fair process
Prepare an investigation workplan.
Topics we work through
- Relevant questions and hypotheses.
- Roles, sequencing and safeguards.
- Apply these concepts to the course case and discuss evidence, assumptions and practical constraints.
Practice: Prepare an investigation workplan. Record your choices and identify what needs further verification.
03Handle evidence appropriately
Create an evidence register.
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Handle evidence appropriately
Create an evidence register.
Topics we work through
- Preservation, provenance and access.
- Reliability and missing information.
- Apply these concepts to the course case and discuss evidence, assumptions and practical constraints.
Practice: Create an evidence register. Record your choices and identify what needs further verification.
04Plan interviews
Build an interview plan.
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Plan interviews
Build an interview plan.
Topics we work through
- Open questions and corroboration.
- Fair treatment and accurate records.
- Apply these concepts to the course case and discuss evidence, assumptions and practical constraints.
Practice: Build an interview plan. Record your choices and identify what needs further verification.
05Evaluate and report findings
Write a findings section.
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Evaluate and report findings
Write a findings section.
Topics we work through
- Facts, inference and uncertainty.
- Reasoned findings within the mandate.
- Apply these concepts to the course case and discuss evidence, assumptions and practical constraints.
Practice: Write a findings section. Record your choices and identify what needs further verification.
06Connect decisions to follow-up
Prepare a follow-up handover.
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Connect decisions to follow-up
Prepare a follow-up handover.
Topics we work through
- Decision authority and corrective action.
- Records, feedback and lessons.
- Apply these concepts to the course case and discuss evidence, assumptions and practical constraints.
Practice: Prepare a follow-up handover. Record your choices and identify what needs further verification.
Examples support professional learning. Applicable requirements and procedures must be confirmed for the organization and jurisdiction involved.
PUT IT INTO PRACTICE · FICTIONAL CASE
A real-world decision.
A reasoned response.
An expense concern involves a senior manager and inconsistent records. The organization needs a fair, bounded examination.
Your challenge: Prepare an authorized investigation plan and a defensible findings structure.
Draft investigation terms of reference.
Create an evidence register.
Prepare a follow-up handover.
YOUR PRACTICAL ASSIGNMENT
An investigation plan using a fictional case.
Bring the module exercises together into a practical deliverable for the fictional case, or an appropriately anonymized work context agreed with the instructor.
What your assignment includes
- Draft investigation terms of reference.
- Prepare an investigation workplan.
- Create an evidence register.
- Build an interview plan.
- Write a findings section.
- Prepare a follow-up handover.
LEARNING AND ASSESSMENT
Show how you would apply it.
Learn through the case
Online explanations, worked examples and guided exercises connect the six modules. Instructor arrangements, access period and schedule are confirmed before enrolment.
Explain your reasoning
Knowledge checks and your practical assignment examine your ability to connect risks, responsibilities and evidence. Feedback addresses assumptions, feasibility and gaps.
Build toward the full certificate
This course is part of the proposed 18-course Compliance House Professional Certificate in Compliance Program Practice.
Explore the full program →Assessment and credential arrangements
The proposed course assessment combines knowledge checks with review of your practical assignment. Completion evidence, passing requirements, reassessment arrangements and recognition toward the full program will be confirmed before enrolment. Completing this course alone does not confer the full professional certificate.
The Academy certificate is issued by Compliance House; it is not an externally accredited qualification or ISO certification.
YOUR NEXT STEP
Make this learning relevant to your work.
Discuss individual participation or delivery for your compliance team. We will confirm suitability, duration, delivery format, assessment arrangements and fees before you commit.