You will be able to advise, identify, alert and monitor the risks of your company in an early manner thanks to the intensive course of this Postgraduate diploma”

Why Study at TECH?

TECH is the world's largest 100% online business school. It is an elite business school, with a model based on the highest academic standards. A world-class center for intensive managerial skills education.   

TECH is a university at the forefront of technology, and puts all its resources at the student's disposal to help them achieve entrepreneurial success”

At TECH Global University

Innovation

The university offers an online learning model that balances the latest educational technology with the most rigorous teaching methods. A unique method with the highest international recognition that will provide students with the keys to develop in a rapidly-evolving world, where innovation must be every entrepreneur’s focus.

"Microsoft Europe Success Story", for integrating the innovative, interactive multi-video system. 

The Highest Standards

Admissions criteria at TECH are not economic. Students don't need to make a large investment to study at this university. However, in order to obtain a qualification from TECH, the student's intelligence and ability will be tested to their limits. The institution's academic standards are exceptionally high...  

95% of TECH students successfully complete their studies.

Networking

Professionals from countries all over the world attend TECH, allowing students to establish a large network of contacts that may prove useful to them in the future.  

100,000+ executives prepared each year, 200+ different nationalities.

Empowerment

Students will grow hand in hand with the best companies and highly regarded and influential professionals. TECH has developed strategic partnerships and a valuable network of contacts with major economic players in 7 continents.  

500+ collaborative agreements with leading companies.

Talent

This program is a unique initiative to allow students to showcase their talent in the business world. An opportunity that will allow them to voice their concerns and share their business vision. 

After completing this program, TECH helps students show the world their talent. 

Multicultural Context

While studying at TECH, students will enjoy a unique experience. Study in a multicultural context. In a program with a global vision, through which students can learn about the operating methods in different parts of the world, and gather the latest information that best adapts to their business idea. 

TECH students represent more than 200 different nationalities.  

Learn with the best

In the classroom, TECH’s teaching staff discuss how they have achieved success in their companies, working in a real, lively, and dynamic context. Teachers who are fully committed to offering a quality specialization that will allow students to advance in their career and stand out in the business world. 

Teachers representing 20 different nationalities. 

TECH strives for excellence and, to this end, boasts a series of characteristics that make this university unique:   

Analysis

TECH explores the student’s critical side, their ability to question things, their problem-solving skills, as well as their interpersonal skills.  

Academic Excellence

TECH offers students the best online learning methodology. The university combines the Relearning methodology (the most internationally recognized postgraduate learning methodology) with Harvard Business School case studies. A complex balance of traditional and state-of-the-art methods, within the most demanding academic framework.   

TECH is the world’s largest online university. It currently boasts a portfolio of more than 10,000 university postgraduate programs. And in today's new economy, volume + technology = a ground-breaking price. This way, TECH ensures that studying is not as expensive for students as it would be at another university.   

At TECH, you will have access to the most rigorous and up-to-date case analyses in academia” 

The quality and prestige that define TECH and place it as one of the best digital universities worldwide has been the result of years of effort and struggle to shape the best 100% online educational programs. Ateam versed in the field works in each of themwhich is responsible for selecting not only the theoretical information that makes up the syllabus, but also use cases based on real situations and hours of additional high quality material. Thanks to this, it is possible to offer highly educational experiences in a comfortable and flexible format that facilitates the specialization of the graduate from any place, without schedules through any device with internet connection. 

The Virtual Campus includes detailed videos, research articles, complementary readings, news, IMAGES and much more material for you to personally delve into each section of the syllabus”  

Syllabus

TECH invests hundreds of hours in the creation of the best syllabus. These are the result of the exhaustive work done by the teaching team, following the guidelines of quality, timeliness and dynamism that define and differentiate this academic center from the rest of those that offer 100% online training. For this reason, graduates who access this Postgraduate diploma in Financial Compliance will find the theoretical, practical and additional information in its content that they need to specialize in this area in just 6 months.  

It is a program focused on 3 fundamental pillars: Corporate Compliance and its regulatory framework, the business management elements of this technique and the strategies of Compliance Responsibility through sectorial business activity. Thus, you will acquire a multidisciplinary knowledge that will allow you to safely master all aspects of the area of study, acquiring, in addition, the necessary skills to assume the leadership of any project related to this area.  

TECH also places special emphasis on the comprehensive work of perfecting the skills of all its graduates in areas such as effective problem solving, time management, control of complex situations or working for the benefit of the company of which it forms part, but always in compliance with current regulations. 

This Postgraduate diploma takes place over 6 months and is divided into 3 modules: 

Module 1. Compliance as a control function: prevention of money laundering and terrorism
Module 2. Competition Intellectual Rights Compliance
Module 3. Financial Compliance

Where, When and How is it Taught?

TECH offers the possibility of developing this Postgraduate diploma in Financial Compliance completely online. Throughout the 6 months of the educational program, you will be able to access all the contents of this program at any time, allowing you to self-manage your study time.

Module 1. Compliance as a control function: prevention of money laundering and terrorist financing 

1.1. Financial crime: impact, elements and phases

1.1.1. The threat of financial crime in the economy. Pillars
1.1.2. Impact in the Economy
1.1.3. Money Laundering
1.1.4. Funding of Terrorism
1.1.5. Phases of Money Laundering and Terrorist Financing

1.2. Institutions and regulations in the prevention of money laundering and terrorist financing

1.2.1. Regulatory and supervisory focus on financial crime issues
1.2.2. Institutions and international legal frameworks of reference
1.2.3. Local institutions and legal frameworks of reference

1.3. Prevention of Money Laundering

1.3.1. Direct activities
1.3.2. Principal (financial sector)
1.3.3. Secondary (other sectors)
1.3.4. Indirect activities: service providers to entities subject to the direct money laundering prevention regime. Gaps

1.4. Program for the prevention of money laundering and financing of terrorism. Implementation and implications

1.4.1. Financial crime program. Pillars
1.4.2. Design of policies and procedures. Implementation and adaptation of systems
1.4.3. Financial crime program. Principles

1.5. Compliance as a support function

1.5.1. Compliance as a support function
1.5.2. Design of financial crime manuals and policies
1.5.3. Development of communication and training strategies

1.6. Compliance as a control function I: identification and verification

1.6.1. Identification of customers and counterparties
1.6.2. Risk-based approach: verification and periodic reviews
1.6.3. Requirements for the last beneficiary

1.7. Compliance as a control function II: Monitoring and suspected

1.7.1. Types of suspicious transactions
1.7.2. Monitoring design
1.7.3. Monitoring flow
1.7.4. Types of suspicious transactions

1.8. Compliance as a Control Function III: Terrorist financing and international financial sanctions: filtering tools

1.8.1. Filtering of operations related to international financial sanctions
1.8.2. List controls
1.8.3. Extraterritoriality: the case of the American supervisor (OFAC)

1.9. New technologies in financial crime

1.9.1. Evolution of Finances: FinTech and cryptoassets
1.9.2. Technological Revolution. Risks and Opportunities
1.9.3. Advances in controls: RegTech

1.10. Tax Compliance: detection of tax evasion structures

1.10.1. Tax Compliance. Detection of tax evasion structures
1.10.2. International Tax Compliance Regulations: FATCA and CRS
1.10.3. Tax evasion structures: Panama Papers

Module 2. Competition and Intellectual Rights Compliance 

2.1. Competition Compliance Activity. European Regulatory Framework

2.1.1. Compliance with Competence
2.1.2. European Regulations
2.1.3. Doctrine and jurisprudence
2.1.4. Supervision

2.2. Fundamental Elements of characterization

2.2.1. Free competition restriction
2.2.2. Vertical restraints
2.2.3. Horizontal restraints
2.2.4. Collusion

2.3. CNMC's practice in relation to compliance programs

2.3.1. Developments in CNMV practice
2.3.2. Ex ante program resolutions
2.3.3. Ex post program resolutions

2.4. Effective compliance programs. CNMC evaluation criteria

2.4.1. Summary of main components
2.4.2. Self-diagnostic meter
2.4.3. Reporting meter

2.5. The Cartel and the Lobby. Example: the Chilean Lobby Law

2.5.1. Chilean Lobby Law
2.5.2. Cartel cases
2.5.3. Lobbying cases

2.6. Public procurement and anticorruption

2.6.1. Characterization elements
2.6.2. Extraterritorial international regulations: FCPA and UK Bribery Act
2.6.3. Other agents: international transparency and its corruption perception index

2.7. New technologies for competition risk mitigation. Pricing instructions, information and exclusion strategies

2.7.1. Basis for evaluation
2.7.2. Information with competitive scope
2.7.3. Planning and risk mitigation strategy in competition

2.8. Legal framework for compliance with intellectual rights

2.8.1. Regulations
2.8.2. Contents
2.8.3. Aspects of particular consideration

2.9. Risk delimitation

2.9.1. Particular study of the scope of development of intellectual rights
2.9.2. Risk delimitation
2.9.3. Aspects in the praxis for planning and control

2.10. Unlawful acts in the context of intellectual rights

2.10.1. Detection
2.10.2. Protection Scope
2.10.3. Infringement policy

Module 3. Financial Compliance 

3.1. Risk structures in Financial Compliance

3.1.1. Compliance Risks
3.1.2. Reputational risks
3.1.3. Regulatory risks
3.1.4. Conduct risks
3.1.5. Financial crime Risk

3.2. Consumer and investor protection

3.2.1. Consumer protection: channels for queries and complaints
3.2.2. Special focus groups: financial inclusion and vulnerability
3.2.3. Cases Wells Fargo and the Bankia case

3.3. MiFID II. European regulations on Financial Markets

3.3.1. MiFID II: objectives, impact and general framework
3.3.2. Product catalogue
3.3.3. Customer Classification
3.3.4. Securities Market Law

3.4. Investment instruments: controls. Appropriateness and suitability

3.4.1. Product governance
3.4.2. Suitability and convenience test
3.4.3. Distribution: communication and advertising campaigns
3.4.4. Compliance controls and monitoring

3.5. Market manipulation

3.5.1. European Regulation Market Abuse Directive (MAD) and Market Abuse Regulation (MAR)
3.5.2. Market Abuse. Pillars
3.5.3. Sanctioned behaviors

3.6. Privileged information in the financial markets

3.6.1. Privileged information
3.6.2. Risk events
3.6.3. Control systems

3.7. Controls on the contracting of financial products by remote means

3.7.1. The risk of using remote means
3.7.2. Protection controls for institutions
3.7.3. Consumer protection controls

3.8. Cross-border transactions in finance

3.8.1. Globalization: licensing versus access
3.8.2. Business licenses and jurisdictions with cross-border services mappings
3.8.3. Design of mitigating factor matrices

3.9. Regulatory Change Management

3.9.1. Regulatory Change Management
3.9.2. Follow-up of regulatory developments and initiatives
3.9.3. Mapping and analysis of required actions
3.9.4. Coordination and implementation

3.10. Compliance Project Management

3.10.1. Compliance as a project manager
3.10.2. Pillars in Compliance Project Management
3.10.3. Compliance project life cycle

Do you want to know the best strategies to design annual compliance plans at the highest level in detail? Enroll in this Postgraduate diploma and learn how”