Learning Outcomes

This course has been designed to provide compliance (and other control) professionals with the necessary skills to implement effective compliance structures and enhance the overall internal governance structures of organisations.

Who should Attend

The course is open to individuals with  an undergraduate degree programme in a relevant area in a business, legal or cognate discipline with a minimum Honours 2.2 and at least 3 years’ relevant work experience.

Applicants who do not hold a primary degree but have relevant work experience at a middle or senior management level are eligible to apply and will be considered on a case-by-case basis (by the Programme Director).

This programme will appeal to candidates occupying senior compliance and/or internal control management positions.

Course Content

The course is made up of nine modules:

1. Ethics and Corporate Governance
2. Managing for Compliance
3. Financial/White Collar Crime Prevention
4. Data Protection Policy and Procedures
5. International Financial Services Regulation
6. Designing an Internal Governance Framework
7. Research Methods and Methodology
8. Applied Project
9. compliance leadership

1. Ethics and Corporate Governance

The module looks at the corporate governance best practice principles and their application in both a financial services and a general organisational setting. It also considers the ethical dilemmas faced by those charged with governing organisations and presents approaches for dealing with such dilemmas. The module will introduce a number of topics and suggested methodologies to the student but will also require input from the student’s personal experience to develop a best practice approach for the elements of ethics and corporate governance examined.

2. Managing for Compliance

The module looks at the development of the role of compliance as an assurance function and examines the strategic role of compliance in an organisation in aligning with the business and delivering value. The module also looks at some of the specific issues in managing a compliance function to ensure it fulfills its assurance role within an entity. It will introduce a number of topics and suggested methodologies to the student but will also require input from the student’s personal experience to develop a best practice approach for the elements of compliance examined.

3. Financial/White Collar Crime Prevention

This module explores the different types of financial and white collar crime, how these crimes are investigated and how organisations manage to control these crimes through policies, procedures, detection and preventative methods. The module considers the legal requirements relating to financial and white collar crime prevention.

4. Data Protection Policy and Procedures

This module explores data protection rules and case law (EU, UK and Ireland) as well as the application of best practice data protection standards.

5. International Financial Services Regulation

This module critically evaluates the theory of financial services regulation. Changes in global, European and domestic financial services regulation are explored in the context of the global financial crisis. The core areas of banking, insurance and asset management are considered in detail.

6. Designing an Internal Governance Framework

Drawing on regulatory and best practice guidance on internal governance, this module looks at the development of a robust, organisation-wide internal governance framework encompassing operational  departments, risk management, compliance, internal audit and the board of directors. The module explores the development of such a framework under different contexts, including multi-nationals with worldwide subsidiaries.

7. Research Methods and Methodology

The purpose of this module is to prepare students to be able to plan and execute an action based research project.  It begins by developing students’ ability to synthesise a literature review.  It then develops their ability to understand, critique and select an appropriate methodology, and generate data with the aim of evaluating findings from an academic and professional perspective.

8. Applied Project

The applied project provides an opportunity to integrate your learning from previous modules.  It is a comprehensive project with a strong focus on practical application.  By assimilating all the skills and knowledge you have acquired from the programme, the projects’ aim is to enable you to critically evaluate an existing compliance framework.  It will also enable you to design and make recommendations on how to develop an optimal compliance model and integrate it effectively within the internal governance framework of the organisation.

Note: The Applied Project is double-weighted (20 ECTS rather than 10 ECTS) and accordingly. the workload is double that of a standard module.

Course Delivery/Duration

The course is delivered part-time over four semesters, to facilitate those who are working in a compliance field. Two modules are delivered each semester. All modules, apart from the Applied Project, are delivered over five Saturdays, comprising six hours of teaching each day. Lectures take place in UCD, Belfield.  The Applied Project is completed using a series of interactive workshops.

Year 1

• Ethics and Corporate Governance
• Managing for Compliance
• Financial / White Collar Crime Prevention
• Data Protection Policy and Procedures

Year 2

• International Financial Services Regulation
• Designing an Internal Governance Framework
• Research Methods and Methodology
• Applied Project

Trainer Profile