CCO: Introduction Compliance (English)

In this module CCO: Introduction Compliance (English) you will gain basic knowledge of laws and regulations regarding the compliance function and you will discuss the tasks and responsibilities of the compliance officer. You will gain insight into the obligations that the legislation and regulations require of you and learn to translate this to your own organisation. After completing this module, you will be able to find your way in European and Dutch financial law.

The CCO: Introduction Compliance (English) module is the first module of the fully accredited course CCO: Certified Compliance Officer. If you wish to learn more about the position of compliance officer after completing this module, then you can get an exemption for this module in the full course CCO: Certified Compliance Officer.

Officially recognised

This module is 1 of the 4 modules from the complete course CCO: Certified Compliance Officer (CCO). The complete CCO course is accredited by DSI, Register Compliance Professional. By obtaining the Certified Compliance Officer diploma, professionals can be certified by DSI by registering in the DSI Compliance Professional register.

The association of Dutch trust offices, Holland Quaestor (HQ), has accredited the course CCO: Certified Compliance Officer and awards PE points (1 point per effective teaching hour) when obtaining the Certified Compliance Officer diploma from NIBE-SVV. Members of Holland Quaestor have a license from De Nederlandsche Bank (DNB) under the Trust Offices Supervision Act (Wtt). Members who work as a compliance officer at a trust office must follow a Holland Quaestor-accredited compliance officer course and obtain the corresponding diploma.

If you have successfully finished the complete course, you are eligible for exemption from 2 of the 6 modules of the Dutch course Registeropleiding Financieel Recht (Financial Law Register Training) of the University of Amsterdam Academy for Banking and Insurance. The Registeropleiding Financieel Recht is concluded with the University of Amsterdam diploma in Register Training in Financial Law and comprises 4 compulsory modules and 2 elective modules.

Your carreer

The compliance officer assists the management of a financial company in managing the compliance risks of this company. A supervised company faces risks of legal or regulatory sanctions and of material, financial or reputational loss. The entire CCO: Certified Compliance Officer course is specifically designed for (experienced) compliance officers, auditors and other professionals in similar positions with oversight responsibilities. In this module you take a first step towards compliance.

Some knowledge of relevant laws and regulations is desirable before you start this course. In case you are lacking this experience, we recommend that you first follow the Compliance for Financial Advisors (Compliance voor Financieel Adviseurs) training.

Preliminary training

This compliance course is suitable for you if you perform on an academic level. In addition, you are expected to have sufficient knowledge of relevant laws and regulations. Furthermore, you need to have a working environment in which you can carry out the practical assignments. If you do not (yet) fully meet this profile, sufficient work experience can still lead to admission to the course. In that case it is highly recommended to find an internship where you can carry out the module assignments.

The course for compliance professionals is very intensive because you attend several meetings per month and also spend time on preparation. Please take this into account when registering.

Study load and duration

This course consists of 4 meetings from 9.30 a.m. tot 4.30 p.m. Course preparation and assignments take approximately 16 hours per meeting.

Course materials

You will be supplied with the latest literature and receive access to a modern online learning environment. This online learning platform includes everything that is required for your training.

Goal and structure

The purpose of the CCO: Introduction Compliance (English) module is to give you more insight into the obligations that legislation and regulations require of you, also in the field of European law. The main points of the Wft, financial supervision law and relevant European legislative processes such as MiFID, IDD, CRD 4 and Solvency are therefore also discussed. With the knowledge you gain, you can recognise (un)desired behaviour and translate your knowledge of the laws and regulations to the organisation.

The meetings and the module assignment are practice-oriented. For example, during 2 of the meetings you will work on developing your skills by actively practicing with situations that compliance officers may encounter.

Classroom teaching

You follow the meetings from this program in class on location. Our teaching locations are located throughout the Netherlands. When registering you can specify your preferred location. If there are not enough registrations for your preferred location, we will offer an alternative location. This way we can ensure that you have enough fellow students to learn from each other.