Com­pli­ance Man­ager

PROGRAMME START
Winter semester 2021

 
STUDY FEES
PROGRAMME DURATION
1 semester, 10 ECTS
Teaching language German, language level C1
QUALIFICATION
Certificate of Advanced Studies (CAS)

The certificate course comprehensively covers all essential components of a compliance management system, focussing on system structure, practical implementation and interfaces to other relevant business areas. Employees and managers are made fully aware of compliance issues and are given optimal preparation for carrying out the role of compliance manager.

As part of a project-based assignment, the course aims to establish a solid theoretical foundation using a practical-based case study. Course participants will have to present their findings.

After successful completion, course participants will be awarded the "Compliance Manager HNU" Certificate of Advanced Studies (CAS) from the Neu-Ulm University of Applied Sciences.

CON­TENT AND STRUC­TURE

Violations of rules and regulations by German and international companies and the hefty fines that these result in make it clear that a functioning compliance system is now an essential part of successful corporate management. The key role of a compliance system is to provide support for the company or organisation to comply with external and internal rules and regulations, enabling the company or organisation to effectively handle the deluge of regulations that they have to face.

The "Compliance Manager" certificate course addresses the below-mentioned issues in a structured manner with the aim of providing practical assistance for setting up an effective compliance management system and pointing out interfaces to other relevant areas of the company. The course content covers the basics of compliance management. Students are then able to explore issues in depth in the form of a project-based assignment. 

The certificate course is a part-time course and covers four basic modules and six advanced modules offering 10 ECTS. The modules consist of face-to-face teaching, blended learning and e-learning.

Target group

The Compliance Manager certificate course is aimed at managers and professionals working in compliance, law, risk management, international purchasing, sales, finance and ICS. 

Admission requirements

In order to qualify for the certificate course, you must have at least two years’ professional experience, preferably in an area related to business management applications, or a university degree.

An equivalent qualification may also be recognised as an admission requirement.

Content

  • Basics of compliance
  • Compliance certification
  • Risk management
  • Leadership, HR and organisational development
  • Competition law
  • Corporate crime
  • Employment law
  • IT security and data protection

The content is supplemented by case studies.

Format and Teaching

The certificate course can be studied part-time. The lectures usually take the form of all-day university-based block sessions. The modules consist of face-to-face teaching, blended learning and e-learning.

Qualification

The certificate course includes a written examination and practical-based project assignment that course participants work on during the course.

Upon successful completion, the Neu-Ulm University of Applied Sciences will award you the "Compliance Manager HNU" Certificate of Advanced Studies (CAS) which equates to 10 ECTS credit points.

Anyone not taking the examinations will receive a certificate of attendance.

EVENTS AND STRUC­TURE

Key areas of the course

  • Legal basis of compliance
  • Organisational basis of compliance
  • Compliance and areas of responsibility
  • Embedding compliance into the business
  • Interface management
  • Requirement profile for a compliance officer

Date:

Compliance certification

  • IDW PS 980
  • Function and sequence of an IDW PS 980 test
  • Design test
  • Adequacy test
  • Efficacy test

Date:

IT security and data protection

  • IT-Compliance
  • Data protection
  • Information security
  • Technical support for compliance instruments: Whistleblower systems in practice

Date:

Leadership, HR and organisational development

  • Leadership and leadership personality
  • Communication and leadership
  • Conflict management
  • Motivation and goal-setting
  • Team leading and team processes
  • HR and organisational development
  • Management of development projects

Date:

Corporate example

  • Reports from the corporate world

Date:

Employment law

  • Basics of employment law
  • Employee data protection
  • General employee protection
  • The law on working hours
  • Employee monitoring
  • Termination of employment
  • Recruitment
  • Social security law and income tax regulations

Date:

Monopolies law

  • Basics of competition law
  • Proceedings before competition authorities
  • Consequences of violations of competition law
  • Liability in violations of competition law
  • Case study

Date:

Corporate crime

  • Types and frequency of corporate crime
  • Decency, morality and ethics from a philosophical perspective
  • Breach of trust
  • Money laundering
  • Investment fraud
  • Accounting offences
  • E-crime
  • Typical corporate crime from an empirical perspective
  • Compliance systems and corporate crime

Date:

Risk management

  • Introductions and basic terminology
  • Legal and regulatory requirements
  • Risk management system and risk management process
  • Risk culture and risk policy
  • Risk monitoring and risk communication
  • Early warning indicators

Date:

Project work

  • Processing of a practice-based case study and presentation of results

Date:

FAQ – FRE­QUENTLY ASKED QUES­TIONS

Who is the course for?

The Compliance Manager certificate course is aimed at managers and professionals working in compliance, law, risk management, international purchasing, sales, finance and ICS.

What are the benefits for course participants?

Violations of rules and regulations by German and international companies and the hefty fines that these result in make it clear that a functioning compliance system is now an essential part of successful corporate management. The key role of a functional compliance system is to provide support for the company or organisation to comply with external and internal rules and regulations, enabling the company or organisation to effectively handle the deluge of regulations that they have to face.

The "Compliance Manager" certificate course addresses the above-mentioned issues in a structured manner with the aim of providing practical assistance for setting up an effective compliance management system and pointing out interfaces to other relevant areas of the company. The course content covers the basics of compliance management. Students are then able to explore issues in depth in the form of a project-based assignment. 

The course ensures that employees and managers are made fully aware of compliance issues and are given optimal preparation for carrying out the role of compliance manager.

What does the course cover in terms of content?

  • Basics of compliance
  • Compliance certification
  • Risk management
  • Leadership, HR and organisational development
  • Competition law
  • Corporate crime
  • Employment law
  • IT security and data protection
  • Case studies

When does the teaching take place?

The certificate course can be studied part-time. Course sessions usually take place on Fridays and Saturdays.

What qualification does the course offer?

The certificate course includes a written examination and a practical-based project assignment that course participants work on during the course.

Upon successful completion, the Neu-Ulm University of Applied Sciences will award you the "Compliance Manager HNU" Certificate of Advanced Studies (CAS) which equates to 10 ECTS credit points.

Anyone not taking the examinations will receive a certificate of attendance.