Com­pli­ance Man­ager

• Legal basis of compliance
• Organisational basis of compliance
• Compliance and areas of responsibility
• Embedding compliance into the business
• Interface management
• Requirement profile for a compliance officer

• IDW PS 980
• Function and sequence of an IDW PS 980 test
• Design test
• Adequacy test
• Efficacy test

• IT compliance
• Data protection
• Information security
• Technical support for compliance instruments: Whistleblower systems in practice

• Leadership and leadership personality
• Communication and leadership
• Conflict management
• Motivation and goal-setting
• Team leading and team processes
• HR and organisational development
• Management of development projects

• Reports from the corporate world

• Basics of employment law
• Employee data protection
• General employee protection
• The law on working hours
• Employee monitoring
• Termination of employment
• Recruitment
• Social security law and income tax regulations

• Basics of competition law
• Proceedings before competition authorities
• Consequences of violations of competition law
• Liability in violations of competition law
• Case study

• Introductions and basic terminology
• Legal and regulatory requirements
• Risk management system and risk management process
• Risk culture and risk policy
• Risk monitoring and risk communication
• Early warning indicators

• Types and frequency of corporate crime
• Decency, morality and ethics from a philosophical perspective
• Breach of trust
• Money laundering
• Investment fraud
• Accounting offences
• E-crime
• Typical corporate crime from an empirical perspective
• Compliance systems and corporate crime

• Processing of a practice-based case study and presentation of results

The Compliance Manager certificate course is aimed at managers and professionals working in compliance, law, risk management, international purchasing, sales, finance and ICS.

Violations of rules and regulations by German and international companies and the hefty fines that ensure clearly underline the importance of a functioning compliance system for successful corporate management in today’s world. The central objective of a functioning compliance system is to provide assistance in complying with external and internal rules and regulations, enabling a company or organisation to effectively tackle the flood of regulations that they face.

The "Compliance Manager" certificate course addresses the above-mentioned issues in a structured manner, with the aim of providing practical assistance for setting up an effective compliance management system and identifying interfaces to other relevant areas of the company. The course content covers the basics of compliance management, which students are then able to explore in depth in the form of a project-based assignment.

This course ensures that employees and managers are fully sensitised to compliance issues and are given optimal preparation for taking on the role of a compliance manager.

• Basics of compliance
• Compliance certification
• Risk management
• Leadership, HR and organisational development
• Competition law
• Corporate crime
• Employment law
• IT security and data protection
• Case studies

The certificate course can be studied on a part-time basis. On-campus sessions are generally scheduled on 2 consecutive days, typically Fridays and Saturdays.

This certificate course includes a written examination and a practical-based project assignment that course participants work on during the course.

Upon successful completion, the Neu-Ulm University of Applied Sciences will award you the "Compliance Manager HNU" Certificate of Advanced Studies (CAS) which equates to 10 ECTS points.

Anyone not taking the examinations will receive a certificate of attendance.