Course at a glance


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.

Accredited Level 3 Compliance Management Diploma Entry Requirement

Entry to this Accredited Level 3 Compliance Management Diploma 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 out contact centre. The course is a rolling programme and can be started at any point in the year. Successful students can go on to Higher Education, including remaining as students at OLC to complete courses in our portfolio of higher awards.

All students must be aged 16 or over.


The coursework is assessed through continuous assessment with no formal exit examinations.

Study Hours

Approximately: 200 hours of personal study time for the entire course is recommended. All of which is supported by the OLC Course Tutor, who we greatly encourage students to access support from throughout their course.

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.

Accredited Level 3 Compliance Management Diploma Course Length

1 Year.

Awarding Body


Accredited Level 3 Compliance Management Diploma Course Content

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

Accredited Level 3 Compliance Management Diploma Unit 1: What is Compliance Management?

In this unit you will learn about the 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.

Accredited Level 3 Compliance Management Diploma Unit 2: The Individual as a Compliance Manager

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

Accredited Level 3 Compliance Management Diploma 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 work being done.

Accredited Level 3 Compliance Management Diploma 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.

Accredited Level 3 Compliance Management Diploma 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.

Accredited Level 3 Compliance Management Diploma 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.

Accredited Level 3 Compliance Management Diploma 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.

Accredited Level 3 Compliance Management Diploma Unit 8: Quality and Compliance

How you review how numerous frameworks, standards, techniques and concepts have evolved over the past decades to improve 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

Accredited Level 3 Compliance Management Diploma 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.

Accredited Level 3 Compliance Management Diploma Unit 10: Ethics and Compliance

In this final unit you will explore your knowledge from 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.


This Accredited Level 3 Compliance Management Diploma can be used to gain entry to a Level 4 Diploma or higher.