European Institute of Management and Finance | Compliance Essentials
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Compliance Essentials

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Compliance Essentials


Compliance Function is developing in one of the most important functions for the banks, as well as for the financial and insurance institutions, as demonstrated by several international scandals impacting the reputation of big financial institutions.


Compliance contributes to the security of the organization and to the prevention of situations, which would impact the operation and the reputation of the organization, as well as the employees individually.


The need of training for the personnel working in the financial area has become imminent, in order for them to be in position to face the new challenges and to contribute, depending on their role, to the adaptation and the operation of the organization, according to the existing and forthcoming regulation. In parallel, the role of the Compliance Officer evolves progressively and Compliance has become, a new challenging career opportunity, at global level.


Seminar Content


• The definition of Compliance
• The risk of non-compliance
• The role of the Compliance Officer and his place in the context of the internal control framework
• The profile of the Compliance Officer (skills, knowledge, background)
• Role, responsibilities and mission of the Compliance Function and the Compliance Officer
• Areas covered by the Compliance Unit
• Models of organizational structure of a Compliance Function
• Interrelation of the Compliance Officer and the Compliance Unit, with other roles/units in a regulated company (lawyer, internal auditor,risk officer etc)
• Practical tools and methodologies which facilitate the daily work of the Compliance Officer


Who should attend


• Banks’ managers/officers
• Investment Services Companies managers/officers
• Insurance Companies managers/officers
• Listed Companies managers
• IT managers/officers of companies developing IT systems/applications for financial institutions in order for them to meet the regulatory requirements
• Lawyers
• Officers exercising control activities (internal auditors, inspectors, external auditors, operational risk managers etc)
• Professionals wishing to work in Compliance in the future
• Graduate or post graduate students.
• Professionals that wish to make an international career in Compliance and would like to have a broader picture of how Compliance works and its methodologies, at international level.