Compliance training: From knowledge to action

Compliance between aspiration and reality

Compliance is now formally well established in many companies. Codes of conduct, internal policies and mandatory training are standard practice. SMEs in particular, however, need to prioritise these measures according to risk while working with limited resources. This makes it all the more important for training to provide guidance in day-to-day work and support compliant behaviour in specific situations.

Yet practical experience shows that formal policy acknowledgement alone is often not enough in sensitive decision-making and advisory situations. Under time pressure and in grey areas, requirements may be interpreted differently, applied with uncertainty or not consistently enforced.

 

Policy read but not put into practice: What matters in compliance training

Training approaches vary considerably across organisations. Some provide regular training, while others rely largely on policy acknowledgements or lengthy training intervals, for example every three years. Even when policies are updated, supplementary training is not always provided systematically.

Research into learning and memory shows that newly acquired knowledge can fade over time without further engagement with the material. A review by Carpenter, Pan and Butler (2022) finds that spaced practice and retrieval practice support long-term knowledge retention. These findings suggest that one-off training sessions should be supplemented by regular learning activities and opportunities to actively retrieve previously learned information.

Recent research into workplace learning also emphasises the importance of training transfer. A systematic review by Wisshak (2022), synthesising findings from 19 meta-analyses, identifies training design, opportunities to apply acquired knowledge and support within the work environment as relevant factors influencing the transfer of learning into everyday practice.

In the context of compliance training, knowledge of policies and regulatory requirements can be conveyed relatively quickly. However, developing a sound understanding of how to apply these requirements in practice generally requires repeated engagement, discussion and practical case studies.

 

What effective compliance training looks like

Well-designed compliance training should raise employees’ awareness and support them in applying policies appropriately in specific situations. What matters is less the volume of content than a clear, practical and audience-specific approach to learning.

Based on our practical experience, the following factors have proven valuable:

• Interactive learning formats: Workshops, discussions and facilitated case studies encourage active engagement with compliance topics.
• Practical scenarios: Situations drawn from day-to-day work facilitate the transfer of learning to specific real-world cases.
• Regular reinforcement: Short, recurring learning interventions help keep compliance topics front of mind.
• Audience-specific training: Depending on the business model, different functions such as sales, procurement or management require tailored content.
• Appropriate group sizes: Smaller groups facilitate interaction and exchange. Depending on the topic, target audience and methodology, a group size of up to approximately 20 participants can serve as a practical guideline for both in-person and virtual formats.

 

Practical example: From e-learning to workshops

An international company introduced a new policy addressing abuse of power, harassment and the protection of employees. Particularly when working across countries and cultures, the question arose as to how employees could correctly assess sensitive situations and respond appropriately.

Initially, the company relied on standardised e-learning, which all employees were required to complete once a year. Subsequent discussions revealed, however, that while many employees were familiar with the basic principles, they continued to feel uncertain when assessing specific situations in their day-to-day work.

In response, the company supplemented its training approach with interactive workshops, delivered either in person or virtually depending on the location. In addition to subject-matter input, the workshops included case discussions, group discussions and short quizzes.

The workshops provided a supportive setting for reflection and the exchange of different perspectives. Participants were able to openly discuss areas of uncertainty and use specific cases to practise applying policies in real-life situations.

This example illustrates that, particularly for sensitive topics, it can be beneficial to complement knowledge-based compliance training with opportunities for discussion, reflection and practical application.

 

The role of leadership culture

Compliance training does not operate in isolation: A leadership culture in which compliance requirements are consistently modelled and reinforced helps employees apply these requirements in their day-to-day work. Leaders play an important role in setting an example by demonstrating compliant behaviour, communicating clear expectations and supporting employees in putting what they have learned into practice.

The concept of «tone from the top» is an important element of an appropriate compliance management system. Employees take their cues not only from policies and training materials, but also from the behaviour demonstrated by leaders and the standards consistently upheld across the organisation.

The Innosuisse-funded research project «Return on Compliance», conducted jointly by Lucerne University of Applied Sciences and Arts and the University of Applied Sciences of the Grisons, examined factors associated with successful corporate compliance. The project findings were summarised in a 2024 publication by Hunziker et al. The qualitative findings point to the relevance of leadership culture and organisation-specific compliance training. The quantitative analysis identifies compliance competence as one of the key factors associated with compliance effectiveness and efficiency. Compliance competence encompasses the ability to recognise compliance risks, respond appropriately and apply relevant requirements in specific situations.

Compliance training cannot, therefore, replace a leadership culture that actively supports compliance, nor can it substitute for appropriate controls and processes. Rather, training and leadership culture should reinforce one another to raise employees’ awareness of risks and support the practical application of compliance requirements.

 

Insights from practice and research

Taken together, these insights provide compliance officers, risk managers, Internal Audit and senior management with a number of practical conclusions. The following questions can serve as checkpoints when assessing and further developing compliance training:

• Does policy acknowledgement remain a formal confirmation that a policy has been received and understood, or is it supplemented by measures that support its application in day-to-day work, such as exercises, practical case studies or transfer activities?
• Do interactive formats provide opportunities for questions, discussion and the exchange of experience, or does training predominantly consist of simply «clicking through» content?
• Are practical scenarios used to reflect typical risk situations and practise applying what has been learned in decision-making and advisory situations?
• Is the training programme designed as a one-off event, or are repetition, short learning interventions and updates planned so that knowledge remains accessible over time?
• Are content and examples tailored to different functions and risk profiles, such as sales, procurement and management, or do all target groups receive identical standard modules?
• Is it evident that leaders support these expectations, for example through their own communication, consistent decision-making and role modelling, and is this reflected in the training?

 

Practical conclusion

Ultimately, policies provide a clear and binding framework for compliant behaviour. Formal policy acknowledgement documents that employees have acknowledged the policy but does not in itself ensure that its requirements are applied in day-to-day work. What matters is whether employees can apply these requirements in specific situations. Appropriately designed compliance training therefore emphasises practical relevance, repetition and interaction. Combined with a leadership culture that actively supports these expectations, it helps promote sustained compliant behaviour across the organisation.