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European Certified Compliance Professional (ECCP)

International knowledge and applied learning for compliance experts

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Companies in the financial sector are subject to ever-increasing regulations. As a result, familiarity with implementation and adherence to laws, regulations, and voluntary commitment is becoming more and more complex. For many companies, this presents a major organisational challenge, as breaches have a lasting effect on a company’s reputation and have become an enormous operational risk.

Combination of knowledge and applied learning

The European Certified Compliance Professional (ECCP) aims to provide participants with the required know-how and skills to deal with current compliance risks and challenges. The course consists of various modules covering a wide range of topics and is ideally aligned with practical requirements. It promotes the development of competence through the combination of knowledge and applied learning. The course content will be provided by our online learning platform, regular online seminars and online case studies. Moreover, you will have the chance to discuss the topics during the classroom sessions with top lecturers and practitioners.

Programme Structure

The course is divided into 2 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 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 on 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 about 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 of 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 to 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 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 of 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 on 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 and understanding organizational behaviour and deviance and to learn 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 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

Anti Bribery & Corruption

You will get a comprehensive understanding of international legal and regulatory requirements of 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 on 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 and understanding organizational behaviour and deviance and to learn 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 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
Timeline
Web Session Anti-Bribery & Corruption 11 January 2022
Web Session Anti-Fraud & Investigations 18 January 2022
Web Session Case Work 25 January 2022
Web Session International Compliance &
Employee Screening
1 February 2022
Web Session Questioning Techniques 8 February 2022

Kurs_ECCP_Unit1

ECCP_Grafik_Unit2

Key Facts

Certificate

European Certified Compliance Professional

Target Group

The course targets people working internationally in the fields of compliance, fraud, anti-money laundering, audit, risk management or prospective compliance functions.

Methodology

Blended Learning: Classroom Sessions, Presentations, Discussion, Case Studies, Online Seminars, eTrainings, Online Articles etc.

Duration

7 months

Online Learning Phase 1 6 September - 21 November 2021
Kick-Off Web Session 6 September 2021
Web Session Governance & Regulations 7 September 2021
Web Session Financial Supervisory 14 September 2021
Web Session Risk Management 21 September 2021
Web Session Capital Market Compliance 28 September 2021
Web Session AML & KYC 12 October 2021
Web Session Sanctions & Embargoes 19 October 2021
Classroom Session 1 22 - 26 November 2021
Online Learning Phase 2 11 January - 6 March 2022
Web Session Anti-Bribery & Corruption 11 January 2022
Web Session Anti-Fraud & Investigations 18 January 2022
Web Session Case Work 25 January 2022
Web Session International Compliance &
Employee Screening
1 February 2022
Web Session Questioning Techniques 8 February 2022
Exam 1 7 March 2022
Classroom Session 2 8 - 12 March 2022
Exam 2 4 April 2022

Price

Total fee, including the exam and the certification: 11,900 Euros

All amounts are exempt from VAT.

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