This Course on Compliance Officer It offers employees in any type of organisation flexible and specialised training, enabling them to carry out the duties specified for each post in accordance with current regulations, whilst also promoting the ethical management based on the integrity of employees. There is a growing demand amongst companies for the implementation of a compliance system, where risk assessment and the potential prevention of risks is of vital importance to the organisation. Constant changes in regulations mean that professionals need to keep their knowledge of the subject up to date, and those aware of the risks which involves maintaining good business organisation.
Corporate
Compliance
30 hours
Compliance Officer
Compliance
30 hours
Introduction
Objectives
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Determine the the importance of compliance within the company.
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Identify the functions from the Compliance Officer.
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To analyse the risks of the company.
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To find out what it is and what it is used for whistleblowing channel.
Table of Contents
TEACHING UNIT 1. BUSINESS AND COMPLIANCE
- The need for compliance among businesses
- Relationship between compliance and other areas of the company
- Compliance and Corporate Governance
- Objectives of the Compliance Programme
TEACHING UNIT 2. FUNCTIONS AND RESPONSIBILITIES OF THE COMPLIANCE OFFICER
- General Duties of the Compliance Officer
- Status and Qualifications of the Compliance Officer
- Compliance officer: roles and responsibilities within a company
- Training and advice
- Analysis of new services, products and projects
- Communication and awareness-raising
- Step-by-step procedure in the event of an incident or non-compliance
- Outsourcing compliance
- Responsibilities of the Compliance Officer
TEACHING UNIT 3. PREVENTING POTENTIAL RISKS: IMPLEMENTING CONTROLS
- Types of business risk
- Identification and assessment of risks within the company
- Risk assessment
- Monitoring of surveillance measures
- Checks and balances amongst the organisation’s staff
- Code of Ethics and Culture of Compliance
TEACHING UNIT 4. THE COMPANY’S WHISTLEBLOWING CHANNEL
- Implementation of the whistleblowing channel
- Management of the internal reporting channel
- Receipt and handling of complaints
- How to deal with internal complaints
- Investigation into a complaint
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