CCO: Introduction Compliance (English)

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.

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.

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.

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.

Study programme

• European law
• Financial supervisory law
• Corporate governance
• Compliance and its 'in control-environment'
• Integrity, culture and behaviour in the organisation
• Awareness and training of employees
• Compliance skills

Exam and certificate

Attendance with active participation applies to the CCO: Introduction Compliance (English) module. The module is completed with a module assignment. Upon active participation in the module and successfully completing the assignment, you will receive the certificate ‘CCO: Introduction Compliance (English)’. This module is part of the course CCO: Certified Compliance Officer of NIBE-SVV.