Compliance function: organisation and missions


Objectives :

  • Understanding regulatory compliance obligations
  • Knowing the organizational rules related to the compliance function
  • Mastering the main missions related to the role of Compliance Officer
  • Knowing how to develop a mapping of non-compliance risks
  • Integrating the new obligations related to Sapin 2: mapping of corruption risks, code of conduct, controls, etc.

Program :

1/ DEFINITIONS AND PRINCIPLES RELATING TO COMPLIANCE

  • Definition of the decree of 3 November 2014
  • The principles of AMF position n°2012-17

2/ THE ORGANIZATION OF THE COMPLIANCE FUNCTION AND THE CONTROL SYSTEM

  • The organization of the Compliance function
  • The different actors
  • The risks generated
  • The associated internal control system

3/ THE MAIN TASKS OF THE COMPLIANCE FUNCTION

  • Ensuring and disseminating the regulatory watch
  • Formalizing and disseminating compliance standards and procedures
  • Training and informing on the risks of non-compliance and the measures to be implemented
  • Providing advice to employees
  • Providing written advice on the compliance of new products
  • Carrying out and updating the mapping of non-compliance risks
  • Carrying out a permanent compliance monitoring role
  • Carrying out the project management of applications related to compliance
  • Carrying out the function of AML-CFT manager
  • Carrying out the function of head of investment services control
  • Carrying out the realization of reports to the ACPR (QLB, QPC…)
  • Implementing an ethical alert procedure

 

4/  THE NEW OBLIGATIONS RELATED TO FIR 2:

  • Optimizing approaches
  • Building tools to prevent corruption
  • Risk mapping
  • Codes of good conduct
  • Controls
  • Whisle-blowing

5/ CASE STUDIES: BUILDING A MAPPING OF NON-COMPLIANCE RISKS AND SETTING UP A CONTROL SYSTEM

6/ MULTIPLE CHOICE QUESTIONS TEST OF KNOWLEDGE ASSESSMENT

Scroll to top