Programme in preparation

Certification Programme: International Compliance Foundation Level

In cooperation with the House of Training Quality Circle Compliance International


Compliance has become a full component of a good corporate governance. In banks, the Compliance function is a mandatory internal control function, besides Risk Management and Internal Audit.

The role of compliance is to protect the bank against several risks like reputation, legal or sanctions’ risks.

At the end of this seminar, the participants will

  • understand the main aspects of a Compliance Officer’s function covering the technical, practical aspects and decisions a Compliance Officer has to deal with
  • be able to implement the regulatory framework focusing on a case study of a specific environment
  • have acquired a good understanding of the legal and regulatory environment of a Compliance Officer.

Target Group

Compliance officers with or without experience, internal auditors, managers & bankers willing to improve their knowledge of managing the compliance function.

Participants may be commercial bankers, central bankers, and representatives of other financial institutions of the private sector involved in legal, economic or financial matters.

A good command of English is required.

Knowledge Assessment

The participants will have their newly acquired knowledge validated through a written exam, and will be granted a certificate of achievement issued by the House of Training.

Location & Duration

In Hot-ATTF partner countries: 5 seminar days, exam included.

Detailed programme Explode

Part 1:

  • Corporate governance & definition of internal control system
  • Definition of “compliance risk”
  • Positioning of the Compliance function in the internal control structure
  • Key roles and responsibilities of the board of directors, the executive management and the Compliance function
  • Management of the Compliance function : charter, policy, principles, organisation types, responsibilities

Part 2:

  • Management of the Compliance function : charter, policy, principles, organisation types, responsibilities (continued)
  • Setting up a compliance monitoring plan
  • Fight against money laundering & terrorism financing (AML/CFT): role of the Compliance function on the fulfilment of the AML obligations
  • Concepts of money laundering & terrorist financing
  • Overview of EU and Luxembourg legislation in terms of AML/CFT and Sanction screening
  • Role of the Compliance function on the fulfilment of the AML/CFT obligation

Part 3:

  • Ethics, code of conduct
  • Market Abuse
  • Protection of the clients’ interests and MIFID

Part 4:

  • Client confidentiality and personal data protection
  • Other topics : cross-border activities, circumvention of rules, new products & activities
  • Conclusions, current trends
  • Case study

Part 5: examination:

Wrap-up and revision time in presence of a House of Training expert

Written exam based on all covered topics during the Foundation course


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