Corporate

Compliance Officer

Compliance

30 hours

Introduction

This Compliance Officer Course offers employees of any type of organisation, an agile and specialised training, which enables them to carry out the duties specified for each post in accordance with current regulations and, furthermore, to promote ethical management based on the integrity of workers.

The implementation of a Compliance system is increasingly in demand amongst companies, where risk assessment and its potential prevention is of vital importance within the organisation. The ongoing regulatory change leads in response to the need to train professionals who are up to date in their field and aware of the risks involved in maintaining a good business organisation.

Objectives

To determine the the importance of compliance within the company.
To identify the functions of the Compliance Officer.
To analyse the company's risks.
To find out what the whistleblower channel is and what it is used for.

TEACHING UNIT 1. THE COMPANY AND COMPLIANCE

1. The Need for Corporate Compliance
2. Relationship between compliance and other areas of the company
3. Compliance and Corporate Governance
4. Objectives of the Compliance Programme

TEACHING UNIT 2. ROLES AND RESPONSIBILITIES OF THE COMPLIANCE OFFICER

1. General Duties of the Compliance Officer
2. Status and qualifications of the Compliance Officer
3. Compliance officer: roles and responsibilities within the company
4. Training and advice
5. Analysis of new services, products and projects
6. Communication services and awareness-raising
7. Step-by-step procedure in the event of an incident or non-compliance
8. Compliance Outsourcing
9. Responsibilities of the Compliance Officer

TEACHING UNIT 3. PREVENTING POTENTIAL RISKS: IMPLEMENTING CONTROLS

1. Types of business risk
2. Identification and analysis of risks within the company
3. Risk assessment
4. Control of surveillance measures
5. Controls between the organisation’s agents
6. Code of Ethics and Compliance Culture

TEACHING UNIT 4. THE WHISTLEBLOWER CHANNEL WITHIN THE COMPANY

1. Implementation of the Whistleblower Channel
2. Management of the Internal Whistleblower Channel
3. Receipt and handling of complaints
4. How to deal with internal complaints
5. Investigating a Complaint

Compliance Officer

Introduction

Objectives

Table of Contents

More related courses

Masterclass – New European Directive on Corporate Sustainability Reporting (CSRD) and dual materiality analysis

Patents, intellectual property rights and industrial property rights

Transparency and Good Governance. Sustainable Management of Public and Private Organisations