Corporate

Compliance Officer

Compliance

30 hours

Introduction

This Compliance Officer Course offers employees of any type of organization an agile and specialized training, which allows them to perform the functions established for each position in accordance with current regulations and, in addition, to promote ethical management based on the upright conduct of workers.

The implementation of a Compliance system is increasingly demanded by companies, where risk assessment and its possible prevention is of vital importance in the organization. The continuous regulatory change leads to the need for the preparation of updated professionals in the field and knowledgeable about the risks involved in maintaining a good business organization.

Objectives

To determine the importance of Compliance in the company.
To identify the functions of the Compliance Officer.
To analyze the company's risks.
To know what the whistleblower channel is and what it is used for.

DIDACTIC UNIT 1. COMPANY AND COMPLIANCE

1. The Need for Corporate Compliance
2. Relationship of Compliance with other areas of the company
3. Compliance and Corporate Governance
4. Compliance Program Objectives

DIDACTIC UNIT 2. ROLES AND RESPONSABILITIES OF THE COMPLIANCE OFFICER

1. General Functions of the Compliance Officer
2. Status and qualification of the Compliance Officer
3. Compliance officer: models and functions within the company
4. Training and advice
5. Analysis of new services, products and projects
6. Communication service and awareness raising
7. Step-by-step action in case of incident or non-compliance
8. Compliance Outsourcing
9. Responsibility of the Compliance Officer

DIDACTIC UNIT 3. PREVENTING POTENTIAL RISKIS: IMPLEMENTING CONTROLS

1. Types of business risk
2. Identification and study of risks in the company
3. Risk assessment
4. Control of surveillance measures
5. Controls between the organization's agents
6. Code of Ethics and Compliance Culture

DIDACTIC UNIT 4. THE WHISTLEBLOWER CHANNEL IN THE COMPANY

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

Compliance Officer

Introduction

Objectives

Table of Contents

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