Tracking your Compliance Training Program – What Your LMS Needs to Do

As most compliance functions already know, an effective Learning Management System (LMS) is key to administering an effective compliance training program. Often times, an LMS isn’t used to its full potential.

In this article, we examine not only why having an up-to-date and adaptable LMS is so important in ensuring organizations remain compliant with relevant laws and regulations, but how valuable LMSs are when it comes to compliance tracking and analysis.

Enrollment and Recertification

Many states and industry regulators require new employees to undertake certain compliance training programs within a specific time period after starting. They may also require compliance training to be retaken yearly, or in some cases every two years. For instance, in California, employees and managers are required to complete harassment prevention training within six months of hire/promotion and every two years thereafter.

For organizations with high staff numbers, it can be all too easy for an employee to “slip through the cracks” and miss a vital compliance training. If it is discovered that the organization is no longer compliant, and litigation ensues, this error could turn out to be very a costly one.

This is why an effective LMS is so crucial. Most modern LMSs have integrated tools to help with the recertification process of automatically enrolling new hires and promotions, and re-enrolling learners while also appointing a specific time for them after they have completed a course. This increases the efficiency and accuracy of any compliance programs that you need to implement over an extended period of time.

Tracking compliance training

Tracking Completion

While the enrollment process will ensure your employees are assigned their required training, you haven’t met the compliance requirements until they’ve completed the training. Let’s be honest – employees aren’t lining up at the door to complete their compliance training. It’s essential to use your LMS to track completion rates.

Your LMS should provide detailed information on what courses have been assigned to employees; it should outline whether these have been started, are in progress, or have been successfully completed. And if a course has not been completed or is currently in progress, it should send regular reminders to the person concerned. You should also be able to filter this data according to job role or managerial level, and be able to reuse and share this data as required. By managing and tracking learning activities, an LMS platform can ensure legal compliance while also cutting down on both seat time and Learning and Development (L&D) administration costs.

Using Analytics

In addition to tracking employee compliance course statistics, your LMS should enable you to drill down into the data and get useful information that you can use for future course implementations. Using the analytics provided by your LMS, you can identify trends and look for areas of strength or opportunity.

Assessment Scores: Look at the completion rates and scores for your compliance courses. Are there certain topics or areas where users are consistently scoring low? Is this due to the difficulty of the course, or is there an underlying lack of subject matter knowledge? Are there statistical outliers, or can the poor performance be seen across the board? Score data can answer these questions and enable you to improve either subject matter expertise or the assessment mechanism, as required.

Question-Level Data: If your LMS can drill into how people are scoring on individual scenarios/questions, the analytics can show areas that may need additional training or awareness/refresher campaigns. You may even identify trends with specific job roles, locations, etc. – maybe employees are scoring low on anti-money laundering practices, but managers are showing good comprehension on it. Having this kind of information allows you to tailor your compliance learning to very specific needs.

Behaviors: Compliance learning is more than just checking the box – it’s about influencing day-to-day behaviors and operations. To find out if your compliance program is having the intended effect, compare completion rates and scores to operational key performance indicators and metrics. If there isn’t a strong culture behind the training, employees may just be completing training without taking in the training, sometimes under their supervisor’s influence.


A robust LMS that allows you to track and analyze employee performance and engagement is a vital part of any compliance training program. The old arguments against them no longer hold water – the return on investment achieved through administrative efficiencies and the avoidance of litigation costs makes an effective LMS an indispensable organizational asset.