On the one hand, this course addresses the topic of compliance and shows how appropriate and effective measures can be taken to ensure adherence to all types of rules within the company, including those related to liability issues. It also teaches you how to use change management strategically to master the tasks and challenges of digital transformation.
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Certificates: Certificate "Compliance Officer with TÜV Rheinland-certified qualification"
Certificate "Change Manager (IHK)" -
Examination: Praxisbezogene Projektarbeiten mit Abschlusspräsentationen
(Change Manager:in zertifiziert durch die IHK)
Compliance Officer mit TÜV Rheinland geprüfter Qualifikation -
Teaching Times: Full-timeMonday to Friday from 8:30 a.m. to 3:35 p.m. (in weeks with public holidays from 8:30 a.m. to 5:10 p.m.)
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Language of Instruction: German
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Duration: 8 Weeks
Compliance Officer with TÜV Rheinland-certified qualification
Compliance Basics (approx. 1 day)
Terminology, Significance, and Development of Compliance and Compliance Management
Legal Requirements and Regulatory Framework
Business Judgment Rule
Relevant Standards and Audit Criteria (ISO 37301 and IDW PS 980)
Basic Structure and Content of CMS Models
Compliance Culture (approx. 0.5 days)
The Importance of Corporate Culture
Role of Corporate Leadership
Values and Integrity Management
Tone from the Top/Tone at the Top
Leadership Commitment and Awareness Building
Compliance Objectives (approx. 0.5 days)
Compliance Objectives and Scope
Connection to Risk Management
Elements of an Effective Compliance Strategy
Compliance Organization (approx. 1 day)
Responsibilities of Company Management
Delegation of Compliance Tasks
Structure and Elements of a CMS
Organizational Structure and Workflows
Roles, Responsibilities, and Reporting Lines
Compliance Officer (approx. 1 day)
Position and Role within the Compliance Organization (Trusted Business Advisor)
Duties and Job Requirements
Rights, Duties, and Liability Risks
Employment Contract, Job Description, Reporting Lines, and Authority to Issue Instructions
Civil and Criminal Liability
Future Prospects for the Role
Compliance Risk Management (approx. 2 days)
Introduction to Compliance Risk Management
Compliance Risk Assessment as an Element of the CMS
National and International Legal Frameworks (ISO 31000)
Terminology, Systematics, and Structural and Operational Organization
Identification of Compliance Risks
Prioritization and Assessment of Risks
Use of Risk Matrices
Risk management through avoidance, mitigation, transfer, and acceptance strategies
Risk monitoring
Risk reporting and documentation
Compliance Program and Implementation Measures (approx. 1 day)
Introduction and Requirements (ISO 37301, IDW PS 980)
Preventive Measures
Detection Measures
Response Measures
Further Development of the Compliance Program
Project Management: Implementation and Operation in Compliance Practice
In-Depth Review of Selected Compliance Measures (approx. 1 day)
Regulatory Frameworks: Significance, Design, and Implementation
Training and Compliance Communication
HR Compliance Across Key HR Processes
Employee Data Protection and AI Applications in an HR Context
Business Partner Compliance and Risk-Based Audits
Whistleblower Systems (approx. 1 day)
Classification as a component of the CMS
National and international legal frameworks
Whistleblower Protection Act (HinSchG)
Establishment of internal reporting offices and reporting channels
Reporting Process, Follow-Up Measures, and Conclusion of the Process
Protection system, protection needs, and limitations
Interfaces with trade secret protection, data protection, and labor law
Compliance Monitoring and Continuous Improvement (approx. 1 day)
Three Lines of Defense
Process-Integrated and Process-Independent Controls
Adequacy and effectiveness assessments
Internal and external audits (ISO 19011)
CMS Certification
Evaluation Based on KPIs and Indicators
Development and implementation of improvement measures
Compliance reporting
Responses to Compliance Violations and Crisis Situations (approx. 1 day)
Internal Investigations and Measures in the Event of Violations
Sanctions, Liability, and Reporting Requirements
Government investigations and crisis management
Crisis Communication: Principles and Strategies
Antitrust Compliance (approx. 1 day)
European antitrust law under the TFEU and German antitrust law under the GWB
Risks and Consequences of Antitrust Violations
Prohibited Conduct Toward Competitors
Limitations in sales as well as in dealer and supplier relationships
Abuse of dominant market positions
Antitrust Compliance Management System
Corruption Prevention (approx. 1 day)
Fundamentals and Legal Framework
Requirements of ISO 37001
Definition of Corruption and Mechanisms of Its Origin
Corruption Risks in the Company
Monitoring, Prevention, and Best Practices
Establishing an Anti-Corruption Management System
Anti-Money Laundering (approx. 1 day)
Introduction and Typologies
Scope of Application and Obligated Entities
Risk Management and Safeguards
Requirements for Anti-Money Laundering Officers
Due Diligence Obligations (KYC)
Beneficial Owners, PEPs, and Source of Funds
Suspicious Transactions and Reporting Obligations
Export Control and Export Compliance (approx. 1 day)
The Principle of Free Foreign Trade and Its Restrictions
Legal Basis, Licensing Requirements, and Jurisdictions
Restrictions on goods, end-use, destination countries, and individuals
Sanctions list checks and screenings
Legal Consequences of Violations
Procedures, Oversight, and Internal Compliance Program
Supply Chain Compliance (approx. 1 day)
Background and Fundamentals
Supply Chain Due Diligence Act (LkSG): Definitions and Scope of Application
Protected Legal Positions and Due Diligence Obligations
Policy Statement and Preventive Measures
Legal Consequences and Regulatory Oversight
Outlook: A Comparison of the LkSG and the CSDDD
Data Protection Compliance (approx. 1 day)
GDPR and BDSG
Risk-Based Approach to Data Protection
Data Protection Principles and Legal Bases
Data Subject Rights
Responsibilities, Data Processing, and Data Protection Officer
Technical and Organizational Measures (TOM)
Response to Breaches, Liability, and Sanctions
Project work, certification preparation and certification exam "Compliance Officer with TÜV Rheinland certified qualification" (approx. 3 days)
Change Manager (IHK)
Fundamentals of Industry 5.0 and Digital Transformation (approx. 3 days)
Industry 5.0 – Sustainable, Human-Centered, and Resilient
Developments from the Past to the Present
Digital Revolution or Natural Evolution
The Key Building Blocks for a Factory of the Future
The Impact of Industry 5.0 on the Economy and People
The Technical Foundation – Intelligent, Digitally Networked Systems and Production Processes
Digital Transformation as a Continuous Process of Development
Artificial Intelligence and Generative AI as Drivers of Transformation
Opportunities and Limitations of AI in Everyday Work Life
Legal Framework: The EU AI Act
Personal Adaptability in the Context of New Work (approx. 4 days)
The New Work Era
Putting People First
The New World of Work—More Digital, More Mobile, More Efficient, and More Connected
The Old Workplace—A Look Back
The New Workplace – Current Status
The Workplace of the Future—Video Conferencing, Remote Work, and Robots
Global Teams: The Key Building Blocks for Successful Global Collaboration and Teamwork
Self-organization and self-management in the New Work era
Agile Learning and Knowledge Management in the Digital Age
AI-powered tools for self-organization and knowledge management
An Overview of Models and Tools for Modern Conflict Management
The Opportunities of New Work and Work 5.0
Systems and Processes (approx. 3 days)
Process Analysis with a Focus on Digital Transformation
AI-powered process mining for process optimization
Lean Management – Rethinking Leadership Processes
Design Thinking – An Insight into the New Approach to Problem Solving and Idea Generation
AI as an ideation partner in Design Thinking
Scrum – An Approach to Agile Project and Product Management
Change and Innovation Management (approx. 5 days)
Analyzing Change—The Beginning of the Change Process
Tools and Instruments in the Change Process
AI-powered analysis and forecasting tools in the change process
Designing a Change Architecture—The “Core Competency” in Change Management
Success Factors in Change Management
Dealing with Resistance
The Importance of Change Communication
Generative AI in Change Communication
Innovation Management – Change Management as a Driver of Innovation
The Innovation Process: Planning, Implementation, and Performance Monitoring
AI as a Driver of Innovation for New Business Models
Change Monitoring in Change Processes (approx. 2 days)
Agile Reporting – Progress Tracking
AI-Powered Reporting and Data Analysis
Communication Controlling—Planning, Management, and Monitoring of Corporate Communications
AI-powered sentiment analysis in communication management
Project work (approx. 3 days)
To consolidate the content learned
Presentation of the project results
Changes are possible, the course content is updated regularly.
After this course, you will be prepared for your tasks as a compliance officer. You will be familiar with the principles of company law and thus be able to minimize liability risks. You will also be familiar with the requirements of a compliance management system.
You also understand the importance of change and innovation for business success and know the impact of changing processes and structures on the working environment. You are familiar with the roles in a modern company, you can develop strategic plans and then evaluate their success.
The course is aimed at people from the areas of quality management, risk management, controlling, business development and employees from legal departments.
The scope of a compliance officer’s responsibilities continues to expand. Companies in the banking and financial services sectors, as well as in the insurance and service industries, are therefore increasingly reliant on these services. Compliance professionals are also in growing demand in public administrations, associations, and certain organizations and entities.
In addition, interdisciplinary knowledge of digital processes is in demand across all sectors.Your meaningful certificate provides a detailed insight into the qualifications you have acquired and improves your career prospects.
Didactic concept
Your lecturers are highly qualified both professionally and didactically and will teach you from the first to the last day (no self-study system).
You will learn in effective small groups. The courses usually consist of 6 to 25 participants. The general lessons are supplemented by numerous practical exercises in all course modules. The practice phase is an important part of the course, as it is during this time that you process what you have just learned and gain confidence and routine in its application. The final section of the course involves a project, a case study or a final exam.
Virtual classroom alfaview®
Lessons take place using modern alfaview® video technology - either from the comfort of your own home or at our premises at Bildungszentrum. The entire course can see each other face-to-face via alfaview®, communicate with each other in lip-sync voice quality and work on joint projects. Of course, you can also see and talk to your connected trainers live at any time and you will be taught by your lecturers in real time for the entire duration of the course. The lessons are not e-learning, but real live face-to-face lessons via video technology.
The courses at alfatraining are funded by Agentur für Arbeit and are certified in accordance with the AZAV approval regulation. When submitting a Bildungsgutscheinor Aktivierungs- und Vermittlungsgutschein, the entire course costs are usually covered by your funding body.
Funding is also possible via Europäischen Sozialfonds (ESF), Deutsche Rentenversicherung (DRV) or regional funding programs. As a regular soldier, you have the option of attending further training courses via Berufsförderungsdienst (BFD). Companies can also have their employees qualified via funding from Agentur für Arbeit (Qualifizierungschancengesetz).