Postgraduate Course in Compliance

7 OCT 2021
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18:00h, Online
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The Postgraduate Course in Compliance will prepare you to deal with the growing number of rules and regulations to which an organization is subject, manage corporate compliance both nationally and internationally, and occupy the post of compliance officer in a company.

  • Compliance
  • Corporate Compliance
Next edition
Classes start
15 October, 2021
Program ends
29 January, 2022 (To be confirmed)
Schedule
Friday from 4:30 pm to 8:30 pm and Saturdays from 9 am to 1 pm
Language
Spanish
Modality
On-campus&Live
ECTS credits
15
Price
3550 €

The Postgraduate Course in Compliance provides a methodology based on a complete vision of the different areas that make up the discipline of regulatory and legal compliance in organizations and companies. It provides the compliance knowledge necessary to develop an analysis of compliance risks in companies, so that the scope of compliance and the precise tools for its management can be defined in a specific legal framework.

During the course at our school you will develop knowledge of soft law and imperative law in the national and international sphere of compliance, and you will learn how to design regulatory compliance strategies. As well as acquiring an overview of liability and business ethics regulations imposed by organizations such as the UN and the OECD, you will also analyse specific examples applied to business management, such as the British Bribery Act and corporate guidelines in the United States. Through practical cases you will discover how to act as a compliance officer in situations to detect corrupt business practices during an internal audit and you will propose their resolution, so that you acquire the compliance knowledge necessary for the effective design of Compliance Policies and Compliance Management Systems (CMS).

 

Taught jointly with the Universidad Carlos III de Madrid and in collaboration with KPMG, the Postgraduate Course in Compliance is aimed at professionals who wish to obtain specific knowledge about regulatory compliance procedures and compliance management, as well as professionals and corporate compliance managers who wish to obtain the technical knowledge that consolidates their work in a legal framework. It is also open to people working in the fields of economics, law, defence, administration, and auditing.

Program jointly offered with:

Universidad Carlos III Madrid

Why choose this program

01

Get access to a program designed by teachers and experts

The contents of our school's program are adapted to the reality of the profession of compliance officer and regulatory compliance in-company or in law firms: the postgraduate subjects that the student must pass have been designed by law professors from the UPF and Universidad Carlos III de Madrid, as well as professional experts in legal liability and compliance from KPMG, a firm specialized in auditing and financial, tax, and business advice.

02

Updated content for each course

You will specialize in the latest legal systems and business ethics that today's companies must comply with: you will be given the latest updates to the Organic Law of the Criminal Code and Legal Code, you will learn to apply models for liability, complaints, and business management (GRC), and you will learn about the latest compliance management systems and crime management in companies (CMS), among others.

03

Gain a double degree

Upon completion of the postgraduate course on responsibility for corporate compliance, the student will receive a double degree from the Pompeu Fabra University of Barcelona and the Universidad Carlos III de Madrid.

Who is it for?

The Postgraduate Course in Compliance is aimed at all those professionals who wish to acquire specific knowledge in legal matters and liability, management, and regulatory compliance in a company and, especially, those who are already working as Compliance Officers (COs), Chief Compliance Officers (CCOs) or Chief Ethics & Compliance Officers (CECOs) and want to equip themselves with the technical knowledge that underpins their role in charge of business ethics. It is also aimed at corporate lawyers, economists, internal and external auditors, consultants, and other management professionals who want to acquire a solid and structured view on compliance.

Admission and enrolment

Curriculum

The Postgraduate Course in Compliance is structured into 9 subjects taught by teachers and specialists in corporate compliance, which provide the student with knowledge at an expert level that makes up the discipline of legal compliance in organizations and companies.

In parallel, and throughout the program, practical cases will be looked at through the simulated immersion methodology.

Academic content

Essential Aspects of Business Ethics

Aspects of Business Ethics, compliance, and responsibility applied to the world of company management, and projected onto aspects that usually produce internally applicable standards. Relationship of business ethics with compliance with regulations and the establishment of voluntary standards above the legal thresholds of mandatory legal compliance.

The sources of compliance obligations: Hard Law and Soft Law

Importance of good practices and international compliance standards as sources of obligations. Their interpretive and even binding nature. Soft Law sources.

  • Traditional system of sources of law and obligations.
  • Sources of Soft Law and practical efficacy.
  • Taxonomy of technical standards (ISO, ISA, and ISAE).
GRC business management models

Modern business management models framing compliance tasks within models integrated with Governance and Risk Management (GRC models). This section will deal with the interactions between these three spheres that the compliance officer regulates.

  • Concept of Governance, Risk Management, and Compliance (GRC).
  • GRC integrated management models: applications and solutions.
  • Locations of the compliance function in the business organization chart.
  • Interactions between compliance, internal control, and internal audit.
Compliance Management Systems (CMS)

Due to the proliferation of liability rules that affect companies (mandatory or self-imposed), corporate compliance systems are needed that allow effective management of compliance. For these purposes, both international and national standards are being developed that determine the state of the art in this matter.

  • Concept of CMS and compliance areas.
  • Generic and specific standards.
  • Organic compliance structures.
  • Profile and functions of the Compliance Officer.
  • Compliance Policy and CMS.
  • ISO standard in CMS.
  • ISO standard in ABMS.
Generic frames of reference

Both international and national standards in matters of legal compliance use a series of principles and components that are developed in the environment of internal control of business management. This section deals with these generic reference frameworks and the compliance principles that have been developed through them.

  • The COSO Framework: COSO I, COSO II and COSO III.
  • The OCEG Capability model.
  • OECD Guidelines.
  • Profile and functions of the Compliance Officer.
  • The Australian Standards AS 3806-2006.
  • The technical audit standard IDW AssS 980.
Specific frames of reference

Compliance frameworks specially adapted to technical matters or activity sector have been developed. Among these are those for the prevention and defence against corruption, which have become models of ethical management and a source of inspiration for a large number of regulations on the matter that compliance officers must be aware of.

  • The "Corporate Guidelines" of the US Sentencing Commission.
  • The OECD rules against corruption.
  • The North American Foreign Corrupt Practices Act (FCPA).
  • The British Bribery Act.
  • The compliance model of the Spanish Penal Code.
  • Tax Governance, Tax Morality, and Tax Transparency.
  • Money laundering prevention model.
  • Compliance environments for competition matters.
  • Consumer protection environments in the banking sector.
  • Environmental compliance management models.
  • Privacy management models.
Practical development of compliance models in Spain

The practical application of compliance and corporate compliance models requires the following of techniques developed both as a result of generic and specific reference frameworks regarding compliance.

  • Risk assessment: prioritization of risk behaviours.
  • Policies, procedures, controls, and investigations.
  • Map of compliance risk and criminal prevention.
  • Organizational measures.
Complaint and internal investigation processes

The practical application of compliance models in compliance involves implementing detection mechanisms and subsequently developing investigation processes that will combine respect for the law with the most advanced forensic techniques.

  • Reporting channels and investigation protocols.
  • Guarantees of privacy, defence, and non-retaliation.
  • Procedural guarantees in the internal investigation.
  • Forensic investigation techniques.
  • Obtaining and processing digital evidence.
Classification of group and individual behaviours

The behaviour of both individuals and groups of people must be taken into consideration both in the design and in the application of compliance models in a company. This section will address essential issues of social psychology that affect the field of compliance and that the compliance officer must take into account.

  • Risk assessment: prioritization of risk behaviours.
  • Policies, procedures, controls, and investigations.
  • Map of compliance risk and criminal prevention.
Communication skills

The responsible behaviour of both individuals and groups of people must be taken into consideration both in the design and in the application of corporate compliance models. This section will address essential social psychology issues that affect the field of compliance.

  • Framing techniques and influence on the propensity to comply.
  • Communication techniques in adverse circumstances.
  • Communication in the media.

Practical cases

Correction of inappropriate business initiatives

Through this practical case in a company, an inappropriate commercial initiative will be managed from the point of view of legal compliance, through different moments:

  • Moment 1: the compliance officer participates in a product launch committee where a very beneficial initiative is proposed from a business point of view, but which violates Competition Law.
  • Moment 2: the compliance officer participates in a Board of Directors meeting where the previous initiative is evaluated.
Detection and management of corrupt behaviour

A case of deliberate non-compliance in a business area and the complaint systems will be managed using this practical case in a company:

  • Moment 1: an employee reports a serious case of corruption to the compliance department. The CO studies it. It affects the person in charge of the most relevant business unit of the organization.
  • Moment 2: after an investigation period involving the purchasing department, the case of corruption is confirmed. The CO prepares a report for the Board of Directors.
  • Moment 3: the CO reports the corruption case to the Board of Directors.
Management of compliance behaviours not aligned with objectives

Through this case study, a situation will be managed where the person responsible for compliance in a specific area is not aligned with the compliance objectives declared by the organization and this leads to a criminal case:

  • Moment 1: at a Compliance Committee meeting, the head of the tax area reports the execution of high-risk tax restructuring. The compliance policy and the values of the organization are expressly declared as being conservative. The CO expresses their opinion.
  • Moment 2: the CO presents the monthly compliance report to the Board of Directors. They explain their views on the tax initiative.

Qualification obtained

Once you have passed the program, you will be awarded the double degree of Curso de Postgrado en Compliance, issued by Pompeu Fabra University and Universidad Carlos III de Madrid.

Faculty

The team of teachers for the Postgraduate Course in Compliance is formed of specialists and professionals whose professional career and expertise is strongly linked to the discipline of compliance and legal practice.

Academic directors

Alain Casanovas Ysla

Lecturer in International Contracts on the Master in International Law at the Higher Institute of Economics and Law (ISDE).

Raquel Montaner Fernández

Interim Associate Professor at Pompeu Fabra University

Jacobo Dopico Gómez-Aller

Professor of Criminal Law at Carlos III University (Madrid).

Faculty

Jacobo Dopico Gómez-Aller

Professor of Criminal Law at Carlos III University (Madrid).

Raquel Montaner Fernández

Interim Associate Professor at Pompeu Fabra University

José Luis Pérez Triviño

Director of the publication Fair Play, Magazine of Philosophy, Ethics and Sports Law.

Ramon Ragués Vallès

Full Professor UPF

Mònica Caellas Camprubí
Criminal lawyer. CAELLAS office
Almudena Curero Saiz
Lawyer Legal Compliance Associate
Olga de la Cruz Herrero
Partner and lawyer at Farriols & De la Cruz Abogados
Associate Professor at Pompeu Fabra University
Fernando Esteso Tórtola
Senior manager CC-Forensic
Itziar Galindo Jiménez 
Partner at CTS Tax
Raul García Pavesio
Senior manager CC-Forensic
Dr Beatriz Goena Vives
Associate Professor of Criminal Law at the University of Barcelona
Consultant at MOLINS. 
Dr Víctor Gómez Martín
Professor of Criminal Law at the University of Barcelona.
Jerusalem Hernández Velasco
Partner at CC-Sustainability
Dr Adán Nieto Martín
Professor of Criminal Law at the University of Castilla-La Mancha.
Dr Ana Carolina Oliveira
Research Teaching Staff at Pompeu Fabra University
Ramón Pueyo Viñuales
Partner at CC-Sustainability
Dr Ramon Ragués i Vallès
Professor of Criminal Law at Pompeu Fabra University.
Patricia Reverter Guillot 
Partner at CC-Sustainability
Mª Jesús Rico Martínez
Partner at CC-IAS
Victòria Siguán Cervera
Competition lawyer
Principal Case Officer. Competition and Markets Authority.
 

Methodology

The corporate compliance program combines theory and practice with a highly participatory methodology for students. The teaching objective is to deepen both the conceptual and methodological frameworks in order to understand and analyse the world of regulatory compliance, as well as the most advanced practical applications in compliance management currently in use, and the jurisprudential treatment of compliance efforts.

01.

Global dimension of compliance

The program addresses compliance from the point of view of hard law, and especially from the management of different soft law instruments.

02.

Practical sessions

Throughout the course, practical compliance sessions will be developed in which cases and supposed practical cases of management and complaints will be presented that will be resolved through simulation exercises by the student.

03.

Expert teaching staff

The Postgraduate Course teachers are all specialists and professionals with a long history related to Compliance. Students can take advantage of their experience, legal knowledge, and vision.

Evaluation

The postgraduate course evaluation methodology for training as a compliance officer requires the presentation of a final project by the student, which must be done in a group of a minimum of 3 people, and which consists of the writing of documents that describe a Compliance Policy.

Compliance management students who so wish may also submit the System that develops it. The work consists of providing a working hypothesis (type of organization to which the documents will refer) as well as one or two documents, depending on whether they want to write the Policy or also the description of the compliance system (they can choose). It will be a practical work that in parallel will enable them to prepare these documents for their own companies.

Tools

The On-Campus&Live methodology allows you to follow the program in person and also remotely.

In this modality, two stable subgroups are opened that will coexist throughout the course: one face-to-face and the other with 100% remote students. The remote students (a maximum of 15 places per course) will follow the program in a synchronous way with the face-to-face students. That is, they will share the same school calendar and schedule as the face-to-face students.

Project-oriented learning and the combination of lectures and active methodologies such as case studies, flipped learning, solving real problems, and professional simulations allow the student to connect theory and practice, acquire advanced skills, and achieve learning which is transferable to the job. The face-to-face modality is enriched with elements of online programs (virtual learning environment, multimedia resources, among others) so that the learning experience of the two subgroups is equally satisfactory.

You will have:

  • Master's or postgraduate work to learn by doing
  • A personal mentor to monitor your Master's Final Project (TFM) or Postgraduate Final Project (TFP)
  • Digital resources to achieve transversal skills
  • Interdisciplinary activities and workshops
  • Digital resources and audiovisual blocks for online learning
  • Active methodologies for transferable learning
 

Professional Future

The Postgraduate Course in Compliance is aimed at all those professionals who wish to acquire specific knowledge in terms of regulatory compliance and, to act as Compliance Officers (COs), Chief Compliance Officers (CCOs), Chief Ethics & Compliance Officers (CECOs) or in another related specializations in law firms.

Student profile

Every time it is held, the postgraduate course in compliance management brings together professionals interested in compliance who come mainly from this area and whose objective is to acquire all the current knowledge related to an expert in this legal field. The classroom also draws together other profiles such as company lawyers, economists, internal and external auditors, consultants, and other professionals who want to acquire a solid and structured vision of compliance.

35

Average age

81%

Training in Law

15%

Training in Business Administration and Economics

4%

Training in Accounting and Auditing

Career opportunities

The Postgraduate Course in Compliance and regulatory compliance in-company provides students with the necessary knowledge to efficiently develop a legal specialization, and the functions and responsibilities of the work positions related to the field of compliance management at an expert level.


  • Compliance Officers (COs)
  • Chief Compliance Officers (CCOs)
  • Chief Ethics & Compliance Officers (CECOs)
  • Adviser or consultant on compliance
  • Compliance management in law firms.

Admission and enrolment

Our admission process consists of a rigorous evaluation of each application to preserve the quality of the group as well as the training, experience, and work capacity of all students.

Who can apply?

You need to have a university graduate or a higher in order to apply.

Other candidates without the required university degree may take part in the selection process for the postgraduate course in compliance management by virtue of their academic or professional merits and the place of work they occupy.

Those participants who do not have Spanish as one of their mother tongues or who did not have it as a teaching language in their training studies, must prove with the administration that they have at least a B2 level of Spanish (Common European Framework of Reference), as well as fluently take part in a personal interview with the academic director, if necessary.

How to apply?

To apply for admission to this program, students must read and accept the Terms and Conditions of Contract once they start the application for admission through the following form.

Application for admission

Complete your application within the next admission rounds:

RoundApplication deadlineAdmission resolution
111/11/202026/11/2020
203/12/202018/12/2020
317/12/202031/12/2020
412/01/202128/01/2021
502/02/202117/02/2021
623/02/202110/03/2021
716/03/202131/03/2021
808/04/202123/04/2021
927/04/202112/05/2021
1013/05/202128/05/2021
1127/05/202111/06/2021
1208/06/202123/06/2021
1322/06/202107/07/2021
1406/07/202121/07/2021
1520/07/202130/07/2021
1602/09/202117/09/2021
1716/09/202101/10/2021
1805/10/202120/10/2021
1921/10/202105/11/2021

Applications for admission will be evaluated when you complete the following steps:

  • Complete the online admission form.
  • Pay the €120 admission fee. This amount will be returned if you are not admitted.
  • Send the following documents through the online platform e-registrar:
    • Presentation letter or video
    • CV
    • Scanned copy of university degree (if you are in the last year of your degree, you can provide your academic records)
    • Scanned copy of Transcript of Records. Make sure that it includes your GPA (Grade Point Average)
    • Scanned copy of ID Card or Passport
    • Passport-size photo (jpg format)

Additional documents may be requested in certain cases.
Application rounds are subject to the number of places available on the program.

Admission

  • The Admissions Committee will select the candidates on the basis of a personal or CV-based interview.
  • You will be notified of the admission decision in writing.

Enrolment

  • Registration must be paid within a 15 days after the admission.
  • Once the letter of acceptance to the program has been received, you will need to submit the following original documents before the course begins:
    • Stamped and/or authenticated photocopy of your university degree.
  • If you have a foreign degree you may need to submit additional documents.
  • Paying the reservation fee (25% of the program's tuition fees) is essential in order to reserve your place
  • If you pay the tuition fees by bank transfer you will be required to introduce the program code. The program code for this course is 3295.
  • The remaining tuition fees must be paid 2 weeks before the start of the course.

Grants, scholarships and financing

Scholarships

The UPF Barcelona School of Management offers you different scholarships and ways of financing so that you can take any of our compliance training programs without worries. We offer you the opportunity to finance part of your program on regulatory compliance in companies, either through scholarships that reward your talent, through grants from entities dedicated to promoting education, or through collaboration agreements with financial entities.

Grants and discounts

Funding

Financing simulator

You can choose how to finance your studies by consulting our simulator and receive an answer in less than 24 hours.

Go to the simulator

Collaborating entities

In addition, UPF Barcelona School of Management collaborates with various banks and financial entities which provide study loans on favorable terms. For more information you can contact any of the following links (in Spanish).

Note, however, that in order to benefit from these special conditions you must have a NIE if you are not a European Citizen. Therefore, UPF Barcelona School of Management strongly recommends international students to seek first for students loans at bank entities of their country of origin, or to search for funding opportunities through international entities.

The Agency for Management of University and Research Grants of Catalonia (AGAUR, in Spanish) also offers loans to university students with legal residence in Catalonia through the PREPOST program.

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Application for admission
You are applying for admission to the program:
Postgraduate Course in Compliance
Modality: Presencial&Live
Language: Spanish
Price: 3550
Admission fee: 120
We will deduct this amount from the total registration fee if your application is accepted. If your application is rejected, we will reimburse you.
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Postgraduate Course in Compliance