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Compliance Officer duties (For Banks and PFS Investment Firms): the basics

2 heure(s)

Objectifs

As a junior Compliance Officer or new joiner of a Compliance function in a Bank or a PFS, you are part of the 2nd line of defence and will therefore play an important role in the institution's internal control framework.

As a beginner, you want to acquire a knowledge concerning the role and responsibilities of the Compliance function, its role in the internal organization and its main working procedures and tools. In addition, you would like have a clear view on what is expected from you from both a regulatory and organisational perspective.

It is essential to position yourself within the organisation, knowing the reporting lines, the interaction with the different stakeholders and the tools and methodologies available to perform your day-to-day tasks and controls. This will allow you to focus on the business as usual activities in terms of controls.

Thanks to our expertise in Compliance functions from a regulatory point of view, but also from a practical perspective, we would like to share our experience with you to allow you to be ready for your day-to-day role.

Our training is focused on:

  • Presenting the Compliance function within the internal control framework
  • Describing the roles and responsibilities of the Compliance function within the organisation and its interactions with other functions
  • Main regulatory topics and areas with a focus on key controls
  • Presenting the compliance tools and methodology
  • Describing the role of the Compliance officer within the compliance function

At the end of this training, the participants will be able to:

  • Understand their roles and duties as Compliance Officers within the organisation
  • Have a comprehensive view on their day to day activities, including the main controls and processes
  • Understand the tools of the Compliance function: the Compliance Risk Assessment and the Compliance Monitoring Plan

Contenu

The training will cover the compliance duties around the following aspects:

  • Overview of the internal control framework and the role of the Compliance function within the organisation
  • Presentation of the main components of your role, responsibilities and interactions with the different stakeholders
  • An effective presentation of the compliance tools and methodology
  • The main regulatory topics covered by the function with example of key controls to be implemented

Public cible

A qui s'adresse la formation?

Compliance Officer (new joiners or beginners) of Bank and PSF Investment Firms.

Evaluation

Certificat, diplôme

An attendance certificate will be sent to participants.

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Le contenu de ce descriptif de formation est de la seule responsabilité de son auteur, l'organisme de formation PwC's Academy.

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Caractéristiques
Niveau Débutant
Organisation Formation inter-entreprise
Langues de prestation
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