This course begins by addressing 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 provides knowledge on planning, implementing, maintaining, and monitoring the effectiveness of a quality management system, as well as on the use of artificial intelligence in your profession.
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Certificates: Certificate "Compliance Officer with TÜV Rheinland-certified qualification"
Certificate "Quality representative with TÜV Rheinland-certified qualification" -
Examination: Praxisbezogene Projektarbeiten mit Abschlusspräsentationen
Compliance Officer mit TÜV Rheinland geprüfter Qualifikation
Qualitätsbeauftragte:r 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)
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 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 as a quality officer 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).