Postgraduate Course in Compliance
Postgraduate Course in Compliance
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.
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:
Why choose this program
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.
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.
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.
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.
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.
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).
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
Lecturer in International Contracts on the Master in International Law at the Higher Institute of Economics and Law (ISDE).
Associate Professor UPF-BSM
Tenured lecturer of Criminal Law at Carlos III University (Madrid).
Associate Professor UPF-BSM
Director of Fair Play Journal (Fair Play, Revista de Filosofía, Ética y Derecho del Deporte).
Full Professor UPF-BSM
- Victor Gómez Martín
PhD in Criminal Law from the University of Barcelona.
Tenured lecturer of Criminal Law at the University of Barcelona.
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.
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.
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.
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.
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.
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
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.
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.
Training in Law
Training in Business Administration and Economics
Training in Accounting and Auditing
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:
|Round||Application deadline||Admission resolution|
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
- 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.
- 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.
- 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
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.
Apply for one of our UPF-BSM Scholarships, awarded specifically to Pompeu Fabra University students with a good academic record.
If you are studying your last undergraduate course (4th year) at UPF or at a UPF Group centre and you have a good record, you can apply for a UPF-BSM scholarship. Remember that you must be a graduate and be in possession of your degree (or failing that, the certificate of receipt) when you start the program in which you have enrolled.
- Be in the last undergraduate year at UPF.
- Have a good academic record.
- Have been admitted or are in the process of admission to a Master or Postgraduate course for which you are applying for this Scholarship.
- Apply for the Scholarship at the time of application for admission.
- Submit a motivation letter with the reasons why you have opted for the Scholarship and a list of verifiable merits.
- Upload the required documentation through the eRegistrar platform
- The dates of awarding or denying of the Scholarship will be published on the website.
- The scholarship candidate will personally receive a communication with the procedures to follow in order to formalize it.
- The Scholarship Committee assesses academic talent (average grade of the report) and personal talent (the motivation of the candidate and their merits).
- The UPF-BSM Scholarships are not compatible with specific aid for the programs, scholarships granted by the Ministry of Education, Culture and Sports, and other UPF-BSM scholarships.
- They are compatible with other scholarships from organizations outside the UPF-BSM and with discounts for large families.
They are applied for and granted in accordance with the dates stipulated below:
Academic year programs 2020–21 and 2021–22
- Scholarship application deadline: 03/12/2020, Awarding of the scholarship: week of 14/12/2020
- Scholarship application deadline: 12/01/2021, Awarding of the scholarship: week of 25/01/2021
- Scholarship application deadline: 23/02/2021, Awarding of the scholarship: week of 08/03/2021
- Scholarship application deadline: 08/04/2021, Awarding of the scholarship: week of 19/04/2021
- Scholarship application deadline: 13/05/2021, Awarding of the scholarship: week of 24/05/2021
- Scholarship application deadline: 08/06/2021, Awarding of the scholarship: week of 21/06/2021
- Scholarship application deadline: 06/07/2021, Awarding of the scholarship: week of 27/07/2021
- Scholarship application deadline: 20/07/2021, Awarding of the scholarship: week of 27/07/2021
- Scholarship application deadline: 02/09/2021, Awarding of the scholarship: week of 13/09/2021
- Scholarship application deadline: 05/10/2021, Awarding of the scholarship: week of 18/10/2021
- Scholarship application deadline: 21/10/2021, Awarding of the scholarship: week of 01/11/2021
Remember that you must apply for the scholarship when you complete the application for admission to the program that interests you and always before classes start. The Scholarship cannot be processed for a program that is already being studied.
If you have any questions about how to apply for the UPF-BSM Scholarships, you can contact our scholarship secretariat via email.
Social Value Scholarships
UPF Barcelona School of Management, for this next academic year, and aiming at the commitment for social welfare, offers the Social Value Scholarships with the objective of supporting and favoring the groups that the School considers a priority. Enter and consult the details.
These scholarships are intended to favor specific groups, to help them in their professional and personal development or people who are in a situation of economic difficulty.
The Social Value Scholarship program covers from 25% to 70% of the total tuition fee for the master's degree and from 25% to 50% of the total tuition fee for the diploma or postgraduate course for all the programs offered by the Institute of Continuing Education Foundation.
The University Master's Degree in Law and any other master’s degree carried out in conjunction with an institution outside the UPF-BSM are excluded. Also excluded are programs for which the interested party wishes to carry out any recognition. Repeating students will also not be eligible for the scholarship.
- "Impulsa MUJER" (“Promote Woman”)
Aimed at all professional women, from any environment, who wish to study a management program in any area of the company, to occupy leadership positions or to lead a professional project.
Sporty woman: Specifically addressed at professional sportswomen interested in studying the master’s degree in Sports Management in any of its modalities.
- "Post COVID boost"
Aimed at people over 40 who are unemployed or in ERTE. ERTE is a term used in Spain to refer to the suspension for a specific time of the labor contract of part or all the workers of a company due to force majeure. This temporary suspension of the contract has been applied in Spain during the COVID-19 pandemic and remains in effect until the Government and the Employer decide.
- "Entrepreneur Scholarship for local economy"
Aimed at entrepreneurs and small businesses with a direct impact on the local economy and regions that need specific training to boost business.
- You must have applied for admission into one of the master's offered by the UPF Barcelona School of Management (except the Official Master's Program in Advocacy or those master's) and have been admitted to the program for which the grant is being requested.
- Present a letter of motivation with the reasons why you are applying for the scholarship with a list of merits or outstanding aspects that can be contrasted.
Consult the specific criteria for each of the modalities in the rules.
Submit your application for the Social Value Scholarship via the "Application form" of the program that you are interested in.
Submit the documentation via the "Scholarships and Funding" section of the eRegistar platform, to which you will be given access when applying
Please note that your application must meet all the requirements for both documentation and deadlines. Otherwise, it cannot be evaluated.
All documents except for the academic transcript must be in either Catalan, Spanish or English. The academic transcript can be presented in Catalan, Spanish, English, French, Italian or Portuguese. If it is another language it must be accompanied by a sworn official translation into Catalan or Spanish.
Social Value Scholarship applications have to be made at the same time as completing your application for the program and always before classes begin. Social Value Scholarships cannot be processed for a master's program that has already begun.
Equally, applications presented after the deadlines of the established rounds will not be accepted, even if classes have not yet begun.
Social Value Scholarship are applied for and awarded according to the dates outlined below.:
Programmes for the academic year 2021-2022
- Scholarship application deadline: 12/01/2021, Awarding of the scholarship: during the week of 25/01/2021
- Scholarship application deadline: 23/02/2021, Awarding of the scholarship: during the week of 08/03/2021
- Scholarship application deadline: 08/04/2021, Awarding of the scholarship: during the week of 19/04/2021
- Scholarship application deadline: 13/05/2021, Awarding of the scholarship: during the week of 24/05/2021
- Scholarship application deadline: 08/06/2021, Awarding of the scholarship: during the week of 21/06/2021
- Scholarship application deadline: 20/07/2021, Awarding of the scholarship: during the week of 27/07/2021
- Scholarship application deadline: 02/09/2021, Awarding of the scholarship: during the week of 13/09/2021
- Scholarship application deadline: 05/10/2021, Awarding of the scholarship: during the week of 18/10/2021
- Scholarship application deadline: 21/10/2021, Awarding of the scholarship: during the week of 01/11/2021
The Scholarship Committee will only award Social Value Scholarships to those applicants who, having completed the corresponding documentation and been finally admitted to the program for which they are applying, have passed the various tests that may be requested and meet the criteria established in each established typology in which they wish to enter.
The Scholarship Committee will inform each applicant of the decision individually by e-mail, following the dates published on the website.
Grants and discounts
If you are a member of our alumni associations or of one of our partner universities, we offer you a series of applicable discounts on the amount of tuition for your program.
- UPF Barcelona School of Management or UPF-IDEC Alumni: If you have previously studied at UPF Barcelona School of Management or UPF-IDEC a 15 credits (or more) program and you decide to take on a new program with us, you are entitled to a discount of 20% on your program tuition fees. It is required to be registered in the Alumni network of the UPF Barcelona School of Management upon your application. This discount is not applicable to short courses and postgraduate courses which are part of the same itinerary.
- UPF Alumni: If you have previously studied a degree, a master program or a doctoral program at Pompeu Fabra University, you are entitled to a discount of 15% on the UPF Barcelona School of Management Masters and postgraduated program tuition fees (those programs with more than 15 credits) beginning on or after 01/01/2019.
- ESCI-UPF and Tecnocampus Alumni: If you have previously studied a degree or a master at ESCI-UPF or Tecnocampus, you are entitled to a discount of 15% on the UPF Barcelona School of Management Masters and postgraduated program tuition fees (those programs with more than 15 credits).
UPF Employee Discounts
If you are a member or family member of an employee of the UPF group or belonged to the collaborating institutions of the UPF Barcelona School of Management, you can enjoy a series of applicable discounts on the tuition fees for your program.
- Administrative and Service Staff (PAS) of Pompeu Fabra University. You are entitled to a 35% discount on tuition fees for open programs subject to prior communication from the rector's office and/or the UPF general manager's office.
- Administrative and Service Staff (PAS) and Teaching and Research Staff (PDI) of the UPF Group. Discount of 20% on tuition fees for open programs.
- Relatives (up to second degree) of UPF and the UPF's Institute of Continuing Education's Foundation teaching and research staff (PAS and PDI, in Spanish). Discount of 20% on tuition fees for open programs.
- If you work at a company member of the Institute of Continuing Education Foundation's Board of Trustees or at any of our councils' companies. Discount of 20% on the tuition fees of our master's and postgraduate courses.
UPF Partner Latinoamerican Universities Discount
If you are alumni of one of our Partner Universities, you are entitled to a discount of 10% on the UPF Barcelona School of Management Masters and postgraduate program tuition fees (those programs with more than 15 credits).
You can choose how to finance your studies by consulting our simulator and receive an answer in less than 24 hours.
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.
Postgraduate Course in Compliance