CCO: Certified Compliance Officer (English)

Officially recognised

The CCO: Certified Compliance Officer (English) course is accredited by DSI, Register Compliance Professional. By obtaining the CCO: Certified Compliance Officer Course (English) 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 CCO: Certified Compliance Officer Course (English) 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 completed the 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.

Direct result

• You are trained as a compliance professional in the financial sector
• Holland Quaestor has accredited the CCO: Certified Compliance Officer course and awards PE points
• CCO: Certified Compliance Officer is accredited for inclusion in the DSI Compliance Professional Register

Your career

You are looking for a training for the compliance officer. This course has been specially developed for (experienced) compliance officers, auditors and other professionals in similar positions with supervisory responsibilities. The CCO: Certified Compliance Officer (English) course is suitable for internal and external officials who are involved in compliance tasks at banks, insurers and other financial institutions such as investment and stock exchange companies, pension funds, payment institutions and trust offices.

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 first module CCO: Introduction Compliance (English) or the training Compliance for Financial Advisors (Compliance voor Financieel Adviseurs). Do you work in the financial sector, for example at a payment institution, and do you have customer contact? And do you want to (first) lay a good foundation in the field of CDD, KYC and the Wwft rules? Then follow the short e-learning CDD and KYC: Wwft for Payment Institutions.

Goal and structure

In this course CCO: Certified Compliance Officer (English) you will work with operational standards and procedures. As a compliance officer, you immerse yourself in business processes, financial products and transactions and study the risks of the various processes in order to limit legal and ethical risks. You advise on the development and implementation of the compliance policy and ensure that the company acts within the boundaries of the law. But compliance is not just ticking the boxes. Your attention is also focused on strengthening the integrity of the organisation and the people in it. If we want to live and work together, we must be able to trust each other. Making agreements with each other and sticking to them is also part of your job description.

You must have strong social skills in this profession. The way you package and present your message in all kinds of different situations can have a major impact on its realisation in practice. A sense of reality and flexibility are indispensable for this. Of course you want to change a lot in the shortest possible time, but that is usually not immediately feasible. This profession is also about effectively influencing others and getting them to manage risks better, for example by adjusting their behaviour. Making contact and maintaining good relationships is essential.

Compliance is the opposite of boring and it is a critical function for many companies inside and outside the financial industry. In a compliance function you can provide solicited and unsolicited advice on the course of the organisation. You are allowed to deal with socially relevant themes such as digitisation and sustainability and you have an impact on companies and individuals.

This course CCO: Certified Compliance Officer (English) consists of 4 modules. You can also follow the Introduction compliance module of this course separately with us. The individual module provides an exemption if you choose to follow the entire course afterwards. By following the other modules and taking the assessment, you can still obtain the coveted diploma.

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 Dutch training Compliance voor Financieel Adviseurs also forms a good basis for following this course.

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 13 meetings from 9.30 a.m. to 4.30 p.m. Course preparation and assignments take approximately 20 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 course.

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

You develop the necessary knowledge and soft skills with ample attention to communication skills by following the following modules:

Introduction compliance

(4 days)

• 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

Business operations

(3 days)

• Policy, compliance program, tasks and charter
• MiFID II and SIRA
• Procurement, competition and contract partner integrity
• Bribery and customer integrity
• Privacy and security
• Incident management and employee integrity

Business controls and integrity

(3 days)

• Relationship compliance to risk management and position within the 2nd line
• Risk control en monitoring
• Risk assessment and Product Approval Review Proces (PARP)
• Duty of care and focus on customer interest (including cooperation between Mediators/IDD)
• Soft controls and tone at the top
• Social media and complaints management

Business operations and supervision

(3 days)

• The financial service provider and the Dutch supervisory landscape
• Vision of (inter)national supervisors
• The (compliance) impact of international business and cross-border regulations
• Financial and technological developments and the role of supervisors and compliance
• Compliance skills

Exam and diploma

Attendance with active participation applies to the 4 modules of this compliance course. Each module is completed with a module assignment. After handing in the 4 module assignments, you defend them during an oral exam. If you successfully complete this oral exam and you have actively participated in all modules, whereby you have also passed all module assignments, you will receive the highly valued diploma ‘CCO: Certified Compliance Officer (English)’ from NIBE-SVV.