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Print Posted by Oxford Learning College on 21/06/2017

Accredited Level 3 Diploma in Compliance Management £850


This diploma is designed to explore Compliance Management. Within this course you will learn how changes in compliance management practice against the context of the changes in the UK, EU, US and global economy, and will be of particular interest to those needing to practice compliance management skills on a day-to-day basis. Compliance is defined as a state in which someone or something is in accordance with established guidelines, specifications, or legislation.

Learning Objectives

  • Students will have an opportunity to learn about compliance management
  • To review the compliance manager role
  • Look at compliance structure and environment
  • A review of how to manage compliance process
  • The course encourages the development of compliance management as a working role

This course consists of Ten Units and is a qualification awarded by Oxford Learning College, in its own right; with the quality assurance of a leading awarding body (CIE Global) that hallmarks this professional qualification.


Assessment Objectives (AO)

AO: 1

Students must select and demonstrate clearly relevant knowledge and understanding through the use of evidence, examples and correct language and terminology appropriate to the course of study. This assessment, involves two written assignments: one halfway through the course and following the final unit. Both are assessed and graded by the assigned tutor, according to college procedures. 

AO: 2

Students must critically evaluate and justify a point of view through the use of evidence and reasoned argument. Students can include evidence in different formats to support their written work such as documentation or images to support their course.


Quality of Written Communication (QWC)

In addition, OLC require students’ to produce written material in English, candidates must: ensure that text is legible and that spelling, punctuation and grammar (SPG) are accurate so that meaning is clear; select and use a form and style of writing appropriate to studying a complex subject matter; organise information clearly and coherently, using specialist vocabulary when appropriate and Harvard referencing of citation and sources. In this Specification, SPG will be assessed in all tutor marked assignments (TMAs)

To ensure that we maintain quality standards; all our students written assignments are subject to our plagiarism policy and procedure.

Study Hours (Per Unit)

Approximately: 20 hours personal study time per unit, which is supported by the ODL Course Tutor, but we greatly encouraged students to access support from their tutor throughout the course.



The whole course MUST be completed and both assignments graded PASS to gain the “Oxford Learning College Level Three Diploma in Compliance Management”

Quality Assurance

This course has been developed by the College’s professional team of tutors to meet the needs of sector based employers and employees. It is also part of the College’s validated level three Diplomas’, recognised internationally, as verified and moderated Centre for Interactive Education (CIE Global). Further details of our accreditations are provided on our website.

Entry Requirements

Entry to this level three course requires that potential students have gained GCSE/IGCSE or equivalent qualifications and have, good English oral, reading and writing skills.

Advice on enrolment and guidance of prior learning (APL) can be obtained through our contact centre. The course is a rolling programme and can be started at any point in the year.

Fees and Finance

Course Fee: £850.00

Fees can be paid by instalments.

What you will study?

The whole level three diploma has TEN (10) specific units of study, which are sub-divided into topic areas these are:


Unit 1: What is Compliance Management?

In this unit you will learn about compliance manager. You will refer to research of Tesco 2014 for example. You will learn the concepts of compliance management, terminology, skills and business context.


Unit 2: The individual as a Compliance Manager

Within this unit you will explore tips and techniques are given for successful compliance management, compliance goal-setting, compliance problem-solving, effective compliance resolution meetings, compliance interviewing and giving or receiving compliance related feedback.


Unit 3: Compliance Structure and Environment

Through this unit you will be able to review assessments of different features and types of compliance organisation structure and the various environments within which compliance organisations operate. So roles and responsibilities must be very clear, and specialist staff must be aware of the impact of their advice on the actual working being done.


Unit 4: Managing Compliance Processes

Here you will look at processes that the internal features of a compliance organisation requires, including planning and strategy, compliance costs and budgets and the benefits of understanding the compliance processes of a business.


Unit 5: Managing Compliance Projects

In this unit you will learn how to set realistic goals and targets to complete projects, keeping to budgets and time frames. You will gain an understanding in quality compliance assessment which refers to project team roles, brainstorming and problem solving.


Unit 6: Managing Compliance Diversity

You will explore the presentation of Diversity, like the word itself has several meanings or belief of what it is in reference to an issue, e.g. performance measure diversity, retail diversity, cultural diversity, product diversity. For each it is essential a variation in 2 or more entities, but key to all is that it must be managed professionally with attention to detail. You will explore global compliance mandates and the business case for managing by diversity-unification principles, key compliance issues, requests, legislation, common challenges, potential conflicts, and diverse compliance themes of international regulatory styles.


Unit 7: Compliance and Change

Here you will explore review of compliance-caused/affecting organisational changes. We discover that compliance is not as easy to manage and implement as legislature demands. You will gain knowledge of techniques in achieving compliance in coaching, mentoring and facilitation development.


Unit 8: Quality and Compliance

How you review how numerous frameworks, standards, techniques and concepts have evolved over the past decades to improve a product and quality of service. The use of compliance goals, related compliance performance indicators, service level agreements and benchmarking will be considered, along with a review of quality-compliance management improvement

Unit 9: Audit and Compliance

This unit refers to audits, the evaluation of predetermined criteria of an entity, person or company, are commonly known in the financial context, but it can be applied to any company and department. If you cannot audit it, you cannot measure it, and if you cannot measure it, you cannot improve it – this is an audit and compliance axiom. You will explore risks, audit compliance, performance indicators and benchmarking.


Unit 10: Ethics and Compliance

In this final unit you will explore your knowledge form the previous units and be able to confidently explore areas of fraud, financial, banking and large company dealing. You will now be confident in exploring historic trends such as business ethics, corporate governance and social responsibility.


The coursework is assessed through continuous assessment with no formal exit examinations. Through assessment you will cover certain criteria such as:

  • Theoretical Knowledge/ Understanding
  • Practical Implications
  • Integration of Theory and Practice.


The course has TWO Tutor Marked Assignment (TMA); which are graded: Pass or Fail. The grading procedure if Pass or Fail. Your grade will depend upon if the criteria set ha been met and the decision of your tutor. If you Fail an assessment you have the opportunity to amend where your tutor has highlighted and resubmit.

Career Options

Successful students can go on to Higher Education, including remaining as students at Oxford Learning College to complete courses in our portfolio of higher awards.

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Contact Provider
Category: Undergraduate
Type: Level 3 diploma
Mode of Study: Online
Start Date: Throughout the year
End Date: Flexible
Duaration: 1 year
Application Deadline: Throughout the year

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