Industries & Functions

CAS Compliance in Financial Services

3. Durchführung


Programme Description

The Institute for Legal Studies and Legal Practice of the University of St.Gallen – together with the University of Geneva and Centro di Studi Bancari – has established the Certificate of Advanced Studies (CAS) in «Compliance in Financial Services». This certificate is especially designed for people working in the financial industry in a role in the compliance department or any other regulatory or monitoring function. It is aligned to the practical requirements of compliance staff and covers the regulatory guidelines as well as the most important business areas and the respective challenges for the compliance department.

Target Audience

The vocational course addresses employees of compliance or legal departments and in other regulatory or monitoring functions in the financial industry, especially banks, finance institutes, asset management etc. Fluency in the German language is required.


Start Dates
21 days
Application Deadline
Number of ECTS Credits
Level of Experience
Senior Manager
Functional Manager
Functional Specialist
High Potential
Programme Type
CHF 14'900.-
Zürich und St.Gallen
Individual Modules Bookable
Flexible Entry
Programme Language


This key content is complemented by the analysis and treatment of compliance risks and regulatory expectations as well as the compliance processes. One focus of the course is discussing cases and case studies.

Programme Benefits

The Certificate «Compliance in Financial Services» can be credited towards other programs. Please contact us for further information.

Application Criteria

The participant typically holds a university degree and has some years of practice in the finance industry. The IRP-HSG will evaluate each application. In certain cases, people without academic background but extensive practical experience can be admitted.

Course Structure

7 study modules; each 3 days in Zurich.

Content & Faculty

Module 1
Risk view – compliance risks and regulatory expectations
Lead: Urs Zulauf

Content: Compliance risk management and regulators' expectations of the compliance function and organisation of the supervised entities.
Duration: 3 days

Module 2
Regulatory view – legal requirements for compliance

Lead: Claudia Fritsche/Roland Luchsinger
Content: Legislation on key compliance issues such as anti-money laundering measure and corruption, cross-border distribution, tax compliance.
Duration: 3 days

Module 3
Business view – Compliance in the private client and asset management business
Lead: Alain Bieger/Ralf Huber
Content: Elaboration of the small-client and asset management business with private and institutional clients and the associated compliance requirements.
Duration: 6 days

Module 4
Business view – Compliance in business with institutional and corporate clients
Lead: Martin Eichmann/Samuel Stadelmann
Content:Elaboration of the corporate client and securities trading business as well as the associated compliance requirements.
Duration: 6 days

Module 5
Process View – Organization of Compliance and its Processes and Tools
Lead: Martin Peter/Ralf Huber
Content: Implementing regulatory requirements into internal processes and establishing of an efficient control system and its technological support (Regtech).
Duration: 3 days



Further information

Corporate Partners

Why HSG?

Executive education at the University of St.Gallen (HSG), one of Europe's leading business universities, provides you with an optimal preparation for the future. The University of St.Gallen is more than just an educational institution; it is a place of inspiration that stimulates you to think. You will acquire up-to-date knowledge that is of great practical relvance, and gain valuable insights. This will enable you to make an important contribution to social and economic progress and to your own personal development. "From insight to impact" is not just our message; it is a promise against which we can be measured. 

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