Understand the relationship
Write a relationship profile and explain the reasoning behind your approach.
ONLINE · COMPLIANCE OFFICERS TRACK
Third-Party Compliance & Due Diligence
Scope the checks and present a reasoned recommendation to the authorized decision-maker. 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 officers and procurement or commercial teams responsible for third-party review programs.
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.
Plan and perform due diligence
Build a due diligence workplan and explain the reasoning behind your approach.
Design safeguards and decisions
Write a decision brief and explain the reasoning behind your approach.
Monitor the relationship
Create a monitoring plan 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.
01Understand the relationship
Write a relationship profile.
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Understand the relationship
Write a relationship profile.
Topics we work through
- Business rationale and services.
- Internal ownership and counterparties.
- Apply these concepts to the course case and discuss evidence, assumptions and practical constraints.
Practice: Write a relationship profile. Record your choices and identify what needs further verification.
02Identify risk signals
Develop a review-scoping rationale.
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Identify risk signals
Develop a review-scoping rationale.
Topics we work through
- Ownership, geography and interactions.
- Commercial terms and payment patterns.
- Apply these concepts to the course case and discuss evidence, assumptions and practical constraints.
Practice: Develop a review-scoping rationale. Record your choices and identify what needs further verification.
03Plan and perform due diligence
Build a due diligence workplan.
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Plan and perform due diligence
Build a due diligence workplan.
Topics we work through
- Source selection and verification.
- Distinguishing allegations, matches and findings.
- Apply these concepts to the course case and discuss evidence, assumptions and practical constraints.
Practice: Build a due diligence workplan. Record your choices and identify what needs further verification.
04Interpret unresolved findings
Prepare an open-issues assessment.
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Interpret unresolved findings
Prepare an open-issues assessment.
Topics we work through
- Conflicting information and evidence quality.
- Specialist review and escalation.
- Apply these concepts to the course case and discuss evidence, assumptions and practical constraints.
Practice: Prepare an open-issues assessment. Record your choices and identify what needs further verification.
05Design safeguards and decisions
Write a decision brief.
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Design safeguards and decisions
Write a decision brief.
Topics we work through
- Conditions, contract terms and monitoring.
- Authorized decisions and evidence.
- Apply these concepts to the course case and discuss evidence, assumptions and practical constraints.
Practice: Write a decision brief. Record your choices and identify what needs further verification.
06Monitor the relationship
Create a monitoring plan.
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Monitor the relationship
Create a monitoring plan.
Topics we work through
- Periodic reviews and event triggers.
- Changes in ownership, activity or behavior.
- Apply these concepts to the course case and discuss evidence, assumptions and practical constraints.
Practice: Create a monitoring plan. 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.
A new agent has a credible sales pitch but limited ownership information and unusual payment instructions.
Your challenge: Scope the checks and present a reasoned recommendation to the authorized decision-maker.
Write a relationship profile.
Build a due diligence workplan.
Create a monitoring plan.
YOUR PRACTICAL ASSIGNMENT
A proportionate third-party review plan.
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
- Write a relationship profile.
- Develop a review-scoping rationale.
- Build a due diligence workplan.
- Prepare an open-issues assessment.
- Write a decision brief.
- Create a monitoring plan.
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.