Internal audit - Compliance function, complaints handling and conflict of interest frameworks

• Internal auditors

This module is a component of our Internal audit curriculum, designed to assist internal auditors in their day-to-day work.

This curriculum consists in several courses, dedicated to core topics, subject to the review of internal auditors. The courses will cover organisational, technical and regulatory aspects. The aim of each course is to give a basic refresh of the regulatory requirements, to help in the identification of the risks faced by the participant's companies and to guide them in the elaboration of an adequate working programme. In addition, we will share best practices and practical tips. Experienced internal auditors and subject matter experts will guide participants throughout this curriculum.Prerequisite for each participant: basic knowledge and understanding of the topics, as well as of the applicable regulations.

By the end of the course, participants will be able to:

• have a better understanding of the topic and its challenges;
• have a basic refresh of the regulatory requirements;
• benchmark their processes and controls with best practices;
• design an adequate audit plan;
• be confident in conducting the internal audit review.

• Compliance function scope and context
• Risk analysis
• Regulatory refresh
• Key processes and controls performed as part of the second line of defence
• Audit plan design
• Experience sharing and benchmarking

An attendance certificate will be sent to participants.

Intra-company course

This training is coordinated by Alexandre Lambin and Anthony Bianco, Partners at PwC Luxembourg.

Alexandre Lambin is a partner leading PwC’s Luxembourg Internal Audit Services team, bringing over 20 years of expertise in both internal and external audit practices. He serves on the board of the Institute of Internal Auditors (IIA), Luxembourg chapter, and holds multiple certifications including Certified Internal Auditor (CIA), Certified Financial Services Auditor (CFSA), Certified in Risk Management Assurance (CRMA), and expert-comptable in Luxembourg. Accredited by the IIA to lead internal audit quality assessments, Alexandre manages diverse internal audit assignments for clients outsourcing their audit functions to PwC and collaborates with internal audit departments across various sectors. He has also conducted external quality assessments for companies in financial, non-financial, and public sectors. His academic credentials include a master’s in management and a post-university certificate in audit and control.

Anthony Bianco is a partner at PwC Luxembourg, co-leading Internal Audit and Regulatory Advisory services for Financial Sector clients, including Asset Management and Banks. With over 18 years of experience in internal and external audit, he holds a Certified Internal Auditor (CIA) qualification. Anthony oversees numerous compliance and regulatory advisory projects within the Asset Management and Alternatives industries, focusing on CSSF inspection preparation, licensing processes, compliance methodologies, and policy development. His expertise spans Internal Audit, Asset Management, Regulatory Compliance, and AML/CFT/KYC, with notable client projects involving management companies, alternative investment fund managers, specialised PFS, fund administrators, registrar agents, and depositary banks.