The Role of the Compliance Officer – Full Day






9:00 am - 5:00 pm

Course summary:

This full day course provides an intensive and practical examination of the growing regulatory compliance burden, including laws & rules domestic and international developments and relevant Central Bank Consultation Papers. This course looks at practical ways to help demonstrate compliance including the use of Risk-Based Compliance Monitoring Programs. The course explains professional and personal responsibility of authorised persons including Compliance Officers and senior management and examines important practical areas of compliance not addressed in the rulebooks, i.e. structuring your Compliance Function and writing your Compliance Manual.

Course content:

The course examines the Central Bank’s perspective on:

  • key statutory requirements including regulatory objectives,
  • Central Bank supervision and enforcement strategies,
  • role of the Compliance Officer and the Controlled Function,
  • supervision and enforcement,
  • Compliance Statements and Certificates

The course examines the role of Compliance Officers in Irish financial services firms today including:

  • personal accountability & the boundaries of the Compliance Function;
  • structuring a Compliance Function;
  • what the Compliance Function’s terms of reference should include;
  • helping to create a ‘Compliance Culture’ within your firm;
  • what your Compliance Manual should include;
  • the ongoing obligation to train staff; and
  • factors to consider when designing a compliance monitoring programme.
Who should attend?

This course is designed for Compliance Officers but may be suitable for those tasked with establishing a compliance function, such as:

  • Directors (Executive & Non Executive)
  • Management
  • Heads of Compliance
  • Compliance Officers
  • Human Resources
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Introduction to Financial Services Regulation in Ireland – Half Day
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Risk Based Compliance Monitoring – Full Day
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