Qualified Compliance Officer Training (English)

A practical training course that prepares professionals in a few months for a position as Compliance Officer. No ‘one size fits all’ approach, but sufficient attention for your specific knowledge and experience and the environment in which you work. That’s what this course wants to offer you.

Focused on your working environment

In practice, Compliance Officers’ tasks are often similar, but the context in which they do their work differs from organization to organization. The background of professionals entering the compliance function is also diverse. During this training, we take these differences into account as much as possible.

Learn what you want to learn

We only want to teach you what is relevant to you. That is why we take your background, experiences and knowledge into account as much as possible. We offer you the information that fits the environment in which you work and the knowledge and experience you already have.

Target group

This course is suitable for professionals who (are going to) fill the role of Compliance Officer at companies within the financial sector, such as banks, investment firms and institutions, stock market companies, pension funds, trust offices or insurance companies. It is important to have a working environment in which you can carry out the practical assignments of the course.

Education level

This is a training at HBO (higher vocational education) level. The training is suitable for professionals with various backgrounds and experiences. Relevant (previous) knowledge of laws and regulations is not required.

When the group consists of a mix of English and Dutch speaking participants, English will be spoken during the meetings. Knowledge of the English language is then required.

Objective

This course prepares you for a position as Compliance Officer. The program is centered around the ‘compliance cycle‘ and the tasks you have to be able to fulfill as a Compliance Officer. The assignments measure to what extent you are capable of doing this.

Set up and examination

Per step in the compliance cycle, you carry out one or multiple assignments. In this way, you learn to perform all tasks for which you as a Compliance Officer are responsible.

Each module starts with a one-hour plenary online session, in which the trainer introduces the module and discusses the assignment for that module. After that, you have a month to complete the assignment, applied to your specific working environment. You will be supported by your personal mentor, a consultant from Charco & Dique, who acts as your sparring partner and advisor.

After handing in the assignment, another plenary meeting will take place. Here, the common learning points, pitfalls and best practices are discussed. After this meeting, you will have the opportunity to further refine the details of your assignment before handing in the final version. The final versions of the assignments are put together in a portfolio, and together they form the final assessment.

Modules

1. Kick-off
2. Position of the Compliance Officer within the organization
3. Relevant laws and regulations
4. Getting to know the business
5. Identifying compliance risks
6. Promoting an ethical corporate culture
7. Monitoring
8. Reporting

More information on the content of the modules can be found in the brochure for this course.

Diploma: Qualified Compliance Officer (QCO)

Upon completion of the course, you will receive a diploma and may use the title ‘Qualified Compliance Officer’.

Study material and tools

The theory is presented in an attractive online learning environment. All students are matched with a personal mentor who supports them during the training program. These mentors are experienced consultants of Charco & Dique, who fill the role of External Compliance Officer for different types of companies within the financial sector. The consultants provide you with practical tools, such as sample documents and templates, which they also use in practice themselves.

Ruler compliance software

For each step in the compliance cycle, you complete one or more assignments. To help you with this, you will have access to regtech tool Ruler. The legal framework in Ruler contains the relevant laws and regulations for all types of financial institutions. You can also use Ruler to carry out the other steps in the compliance cycle, such as performing risk analyses and drawing up a monitoring plan.

Study load

The Compliance Officer training takes 9 months. The average study load varies per student, depending on the relevant prior knowledge and experience.