Curso M-0A Técnico en Compliance

The contents of each module/course that makes up this AENOR Qualification are detailed below:

 

Course M-61 - Compliance implementation framework
1. Introduction to the concept of Compliance
• Definition of Compliance and practical examples
• Evolution of Compliance
2. Regulatory frameworks and Compliance
• The legal entity and its framework of responsibility in relation to regulatory compliance
3. Compliance and management of responsibilities
• System of responsibilities
• Functions of the Compliance Officer
4. Compliance management systems
. Important regulations. Objective, structure, scope and definitions
• Functions and responsibilities in management systems
• ISO 37301 as a framework for compliance management
5. Recommendations for the design and implementation of a Compliance management System
6. Case studies

Course M-62 - Corporate crime prevention and detection

1. Offences, penalties and liability

2. Practical analysis of the corporate crime catalogue

3. Main types of criminal activity

4. Cross-cutting offences

• Public Treasury and Social Security

• Scams and culpable insolvencies

• Money laundering and terrorist financing

• Corruption and influence peddling

• Privacy and personal data

• Technological offences

• Market and consumers

• Moral integrity

• Sexual harassment

5. Offences related to a specific sector of activity

• Environment

• Public health

• Intellectual and industrial property

• Planning offences

6. Controls, policies and procedures

7. Practical examples

1. Governance, risk management and compliance:

1.1 Businesses facing the challenges of Compliance and Corporate Governance

1.2 Internal control environment: three lines of defence

1.3 Areas of synergy. Integration of compliance in organisations

2. Defining and implementing a Compliance programme:

2.1 Elements of a compliance programme: policies, controls, training programmes

2.2 Principle of proportionality

2.3 Problems in implementation: resistance to change

3. Content and implementation of a Compliance policy:

3.1 Scope of compliance

3.2 Compliance as a function v. compliance officer or compliance units

3.3 Compliance Committee

4. Code of eihics or conduct:

4.1 Structure and content

4.2 Principles of conduct

4.3 Disciplinary measures

4.4 Communication and dissemination

5. Whistleblower channel:

5.1 Channel types

5.2 Guarantees and prevention of reprisals

5.3 Definition of the channel management procedure

5.4 Communication and dissemination of the channel

6. Risk map: identification and assessment of Compliance risks:

6.1 General concepts

6.2 Identification of risks and monitoring

6.3 Assessment methodology. Measuring impact and probability

6.4 Map of legal risks v. Map of criminal risks

6.5 Assessment of reputational impact

7. Monitoring system. Action plan:

7.1 Definition of types of control

7.2 Measuring the effectiveness of controls

7.3 Evidence repository. Structure and management

8. Information reports:

8.1 Scorecards

8.2 Report on compliance activity

9. Transparency policies (anti-corruption, conflict of interest):

9.1 Content and design of an anti-corruption policy

9.2 Types of conflict of interest

9.3 Control systems to prevent corruption

10. Money-laundering prevention manual:

10.1 Main obligations

10.2 Risk self-assessment report

10.3 Money-laundering prevention manual

10.4 Operational control and analysis systems

11. Data Protection:

11.1 Obligations regarding privacy and information security

11.2 Design and implementation of data protection policies

11.3 Data protection control systems

12. Raising awareness and training:

12.1 Definition of a training programme

12.2 Types of training: face-to-face, e-learning, training for specific posts

12.3 Aspects of environmental awareness