Postgraduate certificate Financial Compliance

Financial Compliance refers to the set of guidelines focused on ensuring compliance with regulations and legality in companies in the world of finance. Therefore, specialists in this field are responsible for preventing organizations from suffering economic and legal sanctions that significantly affect their viability, which is why their figure is increasingly required by companies. As a result, TECH has designed this program, which allows students to delve into consumer and investor protection strategies or the management of financial compliance risks, growing professionally in this area. In addition, you will obtain these skills through a 100% online methodology and without adhering to pre-established schedules.

University certificate

duration

6 weeks

Modality

Online

Schedule

At your own pace

Exams

Online

start date

Credits

6 ECTS

financing up to

3 months

Price(first year)

See price

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Syllabus

The Postgraduate certificate in Financial Compliance is taught in a 100% online format and uses the Relearning methodology, which allows students to access the contents at any time and from anywhere. This program is also divided into very complete topics that break down in detail the most relevant aspects in this field to facilitate the assimilation of knowledge.

This Postgraduate certificate has a 100% online methodology that will enable you to optimize your studies from your own home"

Syllabus

The Postgraduate certificate in Financial Compliance offered by TECH Global University is a program that provides a solid education to face challenges and make business decisions in the field of Corporate Compliance. Its content is designed to promote the development of managerial skills so that students can perform with greater rigor in uncertain environments.

During 150 hours of training, students have the opportunity to analyze numerous case studies both individually and in teams, providing them with an immersive experience in real business situations.

This Postgraduate certificate deals in depth with topics such as consumer and investor protection, compliance risk management, financial market regulation and the prevention of financial crime. All this, with the aim of qualifying professionals who understand Corporate Compliance from a strategic and innovative perspective.

This syllabus is designed with the professional improvement of students in mind and how to prepare them to achieve excellence in the field of leadership and business management. In addition, the program is focused on the latest trends, with innovative content and supported by the best educational methodology and an exceptional faculty.

This Postgraduate certificate is developed over 6 week and is divided into 1 module:

Module 1. Financial Compliance

Where, When and How is it Taught?

TECH offers the possibility of developing this Postgraduate certificate in Financial Compliance completely online. During the 6 weeks of the specialization, the student will be able to access all the contents of this program at any time, which will allow the students to self-manage their study time.

Module 1. Financial Compliance

1.1. Financial Compliance Risk Structures

1.1.1. Compliance Risks
1.1.2. Reputational Risk
1.1.3. Regulatory Risks
1.1.4. Conduct Risks
1.1.5. Financial Crime Risks

1.2. Consumer and Investor Protection

1.2.1. Consumer Protection: Inquiries and Complaints Channels
1.2.2. Groups requiring Special Attention: Financial Inclusion and Vulnerability
1.2.3. Cases: Wells Fargo and the Bankia Case

1.3. MiFID II. European Regulation on Markets in Financial Instruments

1.3.1. MiFID II: Objectives, Impact and General Framework
1.3.2. Product Cataloging
1.3.3. Client Classification
1.3.4. Securities Market Law

1.4. Investment Instruments: Controls. Suitability and Suitability

1.4.1. Product Governance
1.4.2. Suitability and Appropriateness Test
1.4.3. Distribution: Communication and Advertising Campaigns
1.4.4. Compliance Controls and Monitoring

1.5. Market Manipulation

1.5.1. European Market Abuse Directive (MAD) and Market Abuse Regulation (MAR)
1.5.2. Market Abuse. Pillars
1.5.3. Sanctioned Conducts

1.6. Insider Information in the Financial Markets

1.6.1. Privileged Information
1.6.2. Risk Events
1.6.3. Control Systems

1.7. Controls on the Contracting of Financial Products by Remote Means

1.7.1. The Risk of Using Remote Means
1.7.2. Controls for the Protection of Institutions
1.7.3. Controls for Consumer Protection

1.8. Cross-Border Transactions in Finance

1.8.1. Globalization: Licensing versus Access
1.8.2. Mappings of Business Licenses and Jurisdictions with Cross-Border Services
1.8.3. Design of Mitigating Factor Matrices

1.9. Regulatory Change Management

1.9.1. Regulatory Change Management
1.9.2. Monitoring of Regulatory Developments and Initiatives
1.9.3. Mapping and Analysis of Required Actions
1.9.4. Coordination and Implementation

1.10. Compliance Project Management

1.10.1. Compliance as a Project Manager
1.10.2. Pillars in Compliance Project Management
1.10.3. Compliance Project Life Cycle

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Teaching Objectives

The Postgraduate certificaten Financial Compliance aims to provide students with the most advanced knowledge and skills in this demanding field. In this way, they will be able to adequately manage the existing risks in this area or to adopt measures to avoid crimes in this field. All this, in only 6 weeks, allowing the professional to balance their work and professional obligations with their studies.

Develop yourself in the field of Financial Compliance in just 6 weeks and boost your professional career”

TECH makes the goals of their students their own goals too.
Working together to achieve them.

The Postgraduate certificate in Financial Compliance will enable students to:

Determine the prohibited conducts in the field of Compliance in the financial sector
Clearly express the objectives and methodology followed to implement a compliance plan
Determine the different risks and mitigating tools in this specific sector
Elaborate an original risk plan and present and justify it
Evaluate the measures adopted in order to avoid crimes specific to this sector
Clearly express the methodology followed when identifying Financial Compliance risks

Postgraduate Certificate in Financial Compliance

The financial sector is one of the most regulated and complex in today's business environment. The growing need for professionals trained in financial compliance has led TECH Global University to develop an online program specialized in this area. In this university course, participants will acquire updated knowledge on the rules and regulations applicable to the financial sector, as well as the best practices in regulatory compliance. Topics such as money laundering prevention, risk management, business ethics and more will be addressed, providing professionals with the necessary tools to face the challenges of financial compliance today.

The TECH Global University's Postgraduate Certificate in Financial Compliance is designed for financial professionals seeking to update their knowledge and acquire new skills in compliance. Participants will learn how to apply compliance strategies and policies in the financial context, ensuring compliance with current regulations and the protection of the company and its stakeholders. In addition, practical cases will be addressed and real situations will be analyzed to strengthen the understanding and application of the concepts learned. This virtual training program offers a unique opportunity to develop a solid foundation in financial compliance and advance your career in this constantly evolving field.