Compliance Officer duties: the essentials

As Chief Compliance Officer or part of the compliance function at Banks and PFS, you are identified as a Key function Holder and part of the 2nd line of defence control as well. The scope of your position is broad and ever-growing in terms of number of regulatory requirements to cover. That being said, this is key to have a clear view on what is expected from you from a regulator and the organisation perspective.

This is essential to position yourself in the organisation knowing the reporting line, the interaction with stakeholder and the tools available to you. This will allow you then to concentrate on business as usual in terms of control and advisory role.

Thanks to our expertise in the Compliance function from a regulatory and as well a practical perspective, we would like to share our experience to allow you to be ready for your day to day role.

3 December 2020 (ENG) - Webinar format - 9am-12pm

12 January 2021 (ENG) - Webinar format - 9am-12pm

Price: 400.00 €

Duration: 3h

Language: English, French

Number of participants: max. 15

objectifs

Objectives

Our training is focused on:

  • Giving a governance framework around the Compliance function 
  • The role and responsibility of the Compliance function
  • Main regulatory topics with a focus on key controls
  • Presenting the compliance tools.

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

  • Understand your role as compliance within your organisation
  • Have a good view on your day to day including main topics, example of controls and tools.
Contenu

Content

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

  • Overview of the internal governance framework and the internal controls
  • The highlight of your role, responsibilities and interaction with others
  • An effective presentation of the compliance tools and methodology
  • The main regulatory topics covered by the function with example of key controls

Target audience

  • Chief Compliance Officer 
  • Compliance officer
Our lead experts

Our lead experts

  • Cécile Liégeois
  • Isabelle Melcion
  • Celine Troquet
  • Franck Pansera

Contact us

Contact details

PwC's Academy, Crystal Park Building, PwC Luxembourg

Tel: +352 49 48 48 4040

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