Compliance Officer

About Compliance Officer

In order to prevent costly penalties, legal repercussions, and reputational harm, compliance officers can ensure that their firm complies with all applicable laws, both locally and internationally.

Compliance Officer is responsible for managing and maintaining all required compliance for the company.

Why is Compliance Officer important?

Compliance officers work with teams within their organization to create, carry out, support, and manage compliance programs. Also, they carry out the following:

• Coordination, examination, and updating of current accounting policies and practices
• To ensure that departments are in conformity with regulations, they oversee the continuing examination of materials and communication tools.
• By educating personnel on how to fix current practices and avert future infractions, they easily address audit findings.
• Better company reputation due to being compliant
• Prevent legal issues if not compliant
  

Who should take the Compliance Officer Exam?

• Directors and Senior Managers
  
• Company Secretaries
• Compliance Professionals
• Risk Managers
• Legal Advisers and Lawyers
• Auditors and Audit Managers
• Compliance Officers and Managers
• Professionals or students interested in  Compliance

Knowledge and Skills required for the Compliance Officer

Specific skills are needed to excel in career of compliance officer which includes analytical bent of mind and quick learning skills.

Compliance Officer Practice Exam Objectives

Compliance Officer exam focuses on assessing your skills and knowledge in concepts and application of Compliance Officer

Compliance Officer Practice Exam Pre-requisite

There are no prerequisites for the Compliance Officer exam.

Compliance Officer Certification Course Outline

1. Introduction To Compliance
2. Non-compliance and its ramifications
3. Compliance And Business Ethics
4. Monitoring and auditing
5. Implementation Of Corporate Compliance
6. The Corporate Compliance Function
7. Issues In Compliance

Exam Format and Information

Certification name – Certificate in Compliance Officer
Exam duration – 60 minutes
Exam type - Multiple Choice Questions
Eligibility / pre-requisite - None
Exam language - English
Exam format - Online
Passing score - 25
Exam Fees  - INR 1199