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Certificates: Certificate "Compliance Officer with TÜV Rheinland-certified qualification"
Certificate "Quality representative with TÜV Rheinland-certified qualification" -
Examination: Practical project work with final presentations
Compliance Officer with TÜV Rheinland-certified qualification
Quality officers with TÜV Rheinland-certified qualifications -
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)
Differentiation from ethics
Importance of corporate culture
Change management for a practiced compliance culture
Historical background and international development of compliance
Compliance challenges in the context of globalized markets
Compliance as a competitive advantage
Compliance culture (approx. 3 days)
Compliance culture as an elementary prerequisite for a CMS
Values and integrity management (tone from the top/tone at the top)
Leadership commitment and awareness building
DCGK - Corporate Governance vs. Compliance Management
Code of conduct and compliance policy as the "moral backbone" of a company
Code of Conduct - manifestations and benefits - obligation or "window dressing"?
Implementation of a Code of Conduct: Employment law perspective, co-determination obligations under employment law
LkSG - Supply Chain Due Diligence Act
Artificial intelligence (AI) in the work process
Presentation of specific AI technologies
and possible applications in the professional environment
Compliance risk (approx. 2 days)
Risk perception and risk psychology
Strategic risk management and enterprise risk management
Risk management as a mandatory management task §§91 and 93 AktG
Compliance risk - terminology and analysis
Compliance risk identification - top-down and bottom-up methods
Compliance risk management - procedures and instruments
Antitrust compliance (approx. 1 day)
European antitrust law under the TFEU and German antitrust law under the GWB
From the "independence postulate" to the "impact principle"
Antitrust law risks - restriction of competition by object or effect
Corruption prevention (approx. 1 day)
Corruption of public officials vs. private corruption
Relationship management, social adequacy and zero tolerance - problem outline
5-step plan
Money laundering prevention (approx. 1 day)
From the catalog of predicate offenses to the all-crime approach
Causal chain, FATF, EU directives, GWG
Obligations under the GWG and the fulfillment of due diligence and reporting obligations
Export control (approx. 1 day)
Principle of free foreign trade and associated restrictions
Basic questions of export compliance, possible legal consequences and sanctions to be observed
Internal Export Compliance Program
Compliance Organization (approx. 2 days)
Compliance as an interface task in the external and internal relationship of a company
Stakeholder analysis and the importance of the concept of corporate social responsibility for compliance management
Importance of the supervisory board in particular for compliance management
Compliance documentation: functions, security measures and documentation content
Whistleblower systems: origins, criteria, benefits, international legal framework (SOX, Dodd-Frank Act, UKBA, Sapin II)
Whistleblower systems (approx. 1 day)
GeschGehG - betrayal of secrets and whistleblowing, justification solutions §§ 138, 34 StGB, criminal law risks for whistleblowers
Directive (EU) 2019/1937 of the European Parliament and of the Council of October 23, 2019
Whistleblower Protection Act - HinSchG 2022 - Practical relevance for companies and actual effectiveness with regard to effective whistleblower protection
Options for setting up a whistleblower system and their advantages and disadvantages
Compliance Officer (approx. 2 days)
Classification of the compliance structure, understanding of roles
CMS and Compliance Board as instruments for reducing information asymmetries and establishing effective compliance structures
Tasks and personality profile
BAFIN's MaComp as orientation for the employment contract and job description of a CO
Civil and criminal liability risks of a CO - position of guarantor under Section 13 StGB
Reflections on standing and positioning in the future
Compliance control (approx. 1 day)
Standards ISO 37301 and IDW PS 980
Implementation and testing of a CMS incentive model in accordance with BGH case law
Management and organizational specifications, as well as necessary measures for the implementation of a CMS
High-level structure and PDCA cycle as defining characteristics of ISO 37301
Adequacy and effectiveness checks, internal and external audits, certification of a CMS
Reactions to compliance violations (approx. 2 days)
Internal investigation: right or duty?
VerSanG - driver for compliance?
Conducting an internal investigation - essentials: decision-making authority, urgent measures, emergency plan, data protection, employment law, co-determination obligations, employee surveys
Sanctions and liability
Amnesty programs, termination as a last resort, alternatives: Release, reassignment, transfer, recourse claims
Liability of the management board of the AG, business judgment rule and reversal of the burden of proof
Liability of GmbH managing directors, role of D&O insurance and criminal liability insurance in cases of non-compliance
Crisis communication: principles and strategies
Project work, certification preparation and certification exam "Compliance Officer with TÜV Rheinland certified qualification" (approx. 2 days)
Quality officers with TÜV Rheinland-certified qualifications
Basics of quality management (approx. 1 day)
Terms and definitions
Quality management
Quality management systems
Standards and guidelines
Process basics (approx. 1 day)
What is a process?
Process management according to ISO 9001
Identification of processes
ISO 9001 process model
Corporate environment (approx. 1 day)
Context of the organization
Interested parties
Scope of application
Management (approx. 1.5 days)
Commitment to the QM system
Quality policy
Responsibilities and powers
Planning (approx. 1 day)
Dealing with risks and opportunities
Quality objectives and planning
Planning changes
Artificial intelligence (AI) in the work process
Presentation of specific AI technologies
and possible applications in the professional environment
Support (approx. 2 days)
Resources
Competence
Awareness
Communication
Knowledge of the organization, knowledge management
Documentation of the quality management system
Operation (approx. 2 days)
Operational planning
Requirements for products and services
Product development
Predictive failure avoidance with FMEA, QFD, Poka Yoke
External provision
Supply Chain Act (LkSG) and EU Sustainability Directive (CSDDD)
Production and service provision
Release of products and services
Control of non-conforming results
Evaluation of performance (approx. 1.5 days)
Monitoring and measurement
Internal audit
Management review
Improvement (approx. 1 day)
Non-conformity and corrective actions
Continuous improvement
Auditing and certification (approx. 1.5 days)
Fundamentals of auditing
Internal audits
Audit procedure
Auditing external providers or external parties
Certification audit
Communication (approx. 2 days)
Building blocks of communication
The iceberg principle of communication
The four-ears model
Communication behavior in audits
Project management (approx. 1 day)
Definition of project
Managing projects successfully
Total Quality Management (approx. 0.5 days)
Quality of an organization
ISO 9004: Guidance for achieving sustainable success
EFQM Model for Excellence
Project work, certification preparation and certification examination "Quality Officer with TÜV Rheinland certified qualification" (approx. 3 days)
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 will also be able to plan, introduce and maintain a quality management system and monitor its effectiveness. You will also have professional knowledge in the application of DIN EN ISO 9001 and in the planning of internal quality audits.
The course is aimed at people from the areas of quality management, risk management, controlling, business development and employees from legal departments.
The course is also aimed at managers and employees who are entrusted with quality management, who are to implement a QM system in practice or who would like to develop in the area of quality management.
The compliance officer's area of responsibility is growing all the time. Companies in the banking and financial services, insurance and service industries are therefore increasingly reliant on their services. Compliance officers are also increasingly sought after in public administrations, associations and some organizations and corporations.
An additional qualification in quality management is in demand from companies of all sizes in industry, trade and the service sector. After the course, you can provide meaningful proof of your new skills with a TÜV Rheinland-certified qualification.
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).