Program Overview

Compliance Management, Processes and Organisation

Overview

Compliance management has taken on considerably more significance over recent years for industrial, retail, and service companies. This module deals with the key aspects of compliance management, including process and organisational aspects, compliance from a risk management perspective, and management control. Participants will acquire the skills to identify incidents at an early stage and to prevent and appropriately deal with regulatory breaches.

Contents

• Compliance from the perspective of governance and risk management
• Compliance from an auditing perspective
• Compliance and sustainability
• Compliance policy and design
• Compliance processes and organisation
• Compliance management control (monitoring, whistle blowing, reporting)
• Compliance enforcement (crime due diligence, investigations, sanctions, remediation)
• IT compliance and IT security
• Compliance for specific industries (insurance, banking, pharmaceuticals, mechanical and plant engineering)

Fees

The course fee is CHF 4,700, which includes materials, break refreshments, and lunch. Participants must pay additional costs for other meals, travel, and accommodation.

Target Groups

The target groups for this module include:

• Compliance officers
• Risk officers
• Crime risk managers
• Regulators
• Internal and external auditors
• Supervisory and management board members
• Financial executives
• Lawyers working in companies, public administration, and law firms

Language

The module is primarily conducted in German, with some sessions held in English.

Certificate Awarded

Participants will receive a Certificate of Attendance upon completing the module.

ECTS Credits

This module is worth 3 ECTS credits.

Related Modules

Related modules include:

• Compliance-oriented Law
• Compliance Culture

These modules offer further insights and skills in compliance management, law, and culture, and are relevant for professionals seeking to deepen their understanding of compliance in various contexts.