Programme Structure
The course is divided into two units.
Each unit consists of:
- 1 Online Learning Phase
- 5-6 Web Sessions incl. Kick-off (approx. 30 minutes each)
- 5-6 eTrainings (approx. 6-10 hours per eTraining)
- 1 Classroom Session
- 5 seminar days on-site in Frankfurt (eight hours each)
- You can choose whether you attend online or on campus
- 1 exam (three hours)
Modules Unit 1
Governance & Regulations
You will get familiar with the basic principles and requirements, the elements and the operating mode of a governance framework with a focus on the role of compliance.
- The ecosystem of governance & regulation
- Legislative and regulatory background
- Guiding principles for organisational and operational structures
- Elements of a compliance risk and governance framework
Financial Supervisory
This course will teach you to understand the evolution and developments in international and European supervision of financial institutions.
- Roles of different supervisory institutions
- International and European supervisors
- Levels and scope of supervision
- International trends
- International banking associations
Risk Management
You will be taught to understand the evolution and (international) developments in compliance risk management. After completing the course you will understand and be able to define key compliance risk areas.
- Develop a Systematic Integrated Risk Analysis for key compliance risks
- Assess and develop compliance/risk management policies, procedures and measures including controlled and sound operations
- Systematic Integrity Risk Analysis (SIRA)
- Components of compliance risk management framework
- International developments
Capital Market Compliance
You will understand the purpose of compliance in the scope of capital market law. Regulations, Laws, Sanctions or Market Manipulation – this course will give a detailed overview of capital market compliance.
- Sources and aim of Market Abuse Rules: Market Abuse Rules and their Facets; Market Abuse Regulations (MAR) and Laws
- System of Sanction: The 3 step implementation of criminal sanctions MAR –MAD II and WpHG; System of Sanctions regulated in MAR, CRIM-MAD and national law such as WpHG
- Inside Information as Key Topic: Market Abuse as generic Term for Insider Dealings and Market Manipulation; Possible motives for Market Manipulation
- Essential Novelties of the EU Market Abuse Regulation in contrast to former Legislation
AML & KYC
In this course, you will understand the link between AML & KYC, but you also get to know them separately with all their aspects. You will gain skills to work in the AML sector and manage KYC issues.
Anti-Money Laundering
- Act professionally as an AML officer & Working in the AML sector
- Get to know all underlying important AML topics
- Understand the interlinks between the sub aspects to mitigate risks in an effective and efficient way
- Understand how to handle and respect the global, regional and national rule sets
- AML regulations & rules setup (global, regional & national)
Know Your Customer
- What is KYC and which elements does KYC include?
- Gain the essential skills to manage KYC issues and be able to mitigate risks in an effective as well as an efficient way
- Understand how to handle and respect the global, regional and national KYC rule sets
- Learn how to implement or adjust robust KYC element programmes
Sanctions & Embargoes
This seminar will teach you how to research, observe and understand EU and US sanctions. You will then be shown how to use this knowledge to assess the risk these sanctions pose to your organisation. Finally, you will gain an understanding of how to derive appropriate measures to deal with this risk.
- What are sanctions and embargoes? / Legal fundamentals (UN, EU, US)
- How fast are sanctions imposed and how frequently do sanctions change?
- Assess risk: Understanding different types of risks
- Develop measures: risk-based approach, sanctions compliance programme, transaction screening and monitoring, resources
Modules Unit 2
Anti Bribery & Corruption
You will get a comprehensive understanding of international legal and regulatory requirements for fighting bribery and corruption, and you will learn how to implement these requirements.
- Bribery and corruption is making headlines
- Key concepts
- International context and history of fighting bribery and corruption
- ABC typologies and red flags / ABC compliance programme
- New laws and regulations
Anti-Fraud & Investigations
Completing this course will provide you with further awareness of fraud and fraud risks and enable you to better understand the concepts and international developments of fraud risk management frameworks and financial forensic investigations.
- Definitions Anti-Fraud & Investigations
- Is fraud a relevant risk?
- Examples of fraud cases
- International developments
International Compliance & Employee Screening
You will be taught to understand the framework, organisational behaviour, and deviance and the importance of screening and selection instruments.
- Understand the origins of organisational deviance
- Recognise the complexities and interrelations
- Get familiar with specific measures that can be taken
- Translate the assessment into a coherent advice
Questioning Techniques
This course will teach you the key elements to lead a successful interview: from preparation to structure or rapport.
- Interview: preparation, phases & steps, possible barriers influencing the quality of the interview, interview versus conversation
- Personality, agreeableness & influencing, lying & non-verbal behaviour, offender typology
- Rapport & the working alliance
- Information reliability & registration
- Risk assessments & risk management in the workplace
