Financial Regulation → Financial Compliance

Compliance Essentials (CEH120)

Compliance Essentials provides comprehensive coverage of the key compliance / conduct issues that financial services sector companies face today. It provides 8 in-depth modules on the topics listed below and dozens of fast-paced, "Express" micro-learning modules to fire up compliance awareness.


Get a clear understanding of the function compliance plays and the confidence to assume that role in your organisation.

Compliance contributes to the security of the organisation and to the prevention of situations that potentially impact the operation and the reputation of the organisation and the employees individually.
The need of training for the personnel working in the financial area has become imminent, in order for them to be in a position to face the new challenges and to contribute, depending on their role, to the adaptation and the operation of the organisation, according to the existing and forthcoming regulation. In parallel, the role of the Compliance Officer evolves progressively, and Compliance has become, a new challenging career opportunity, at a global level.

Learning Outcome:

• The definition of compliance and the risk of non-compliance
• The role of the Compliance Officer and his place in the context of the internal control framework
• The profile of the Compliance Officer (skills, knowledge, background).
• Role, responsibilities and mission of the Compliance Function and the Compliance Officer
• Ethics and Compliance
• Anti-Bribery and Corruption basics
• Information security
• Market abuse
• GDPR awareness

• Compliance Introduction
• Anti-Money Laundering and Terrorism Financing Fundamentals
• Information Security
• Market Abuse Overview
• Bribery Fundamentals
• Forms of Bribery
• Why Fight Bribery
• GDPR General Data Protection Regulation
• Ethics and Compliance

Training Duration

This course may take up to 10 hours to complete. However, actual study time differs as each learner uses their own training pace.


This course is ideal for anyone wishing to know the essentials of compliance and the international regulatory environment. It is also suitable to professionals pursuing regulatory CPD in Financial Regulation.

• Governance Officer
• Compliance Manager
• Risk Manager
• Audit Executive
• Internal Auditor
• IT Auditor
• Corporate Counsel
• Lawyers

Training Method

The course is offered fully online using a self-paced approach. The learning units consist of video presentations and reading material. Learners may start, stop and resume their training at any time.
At the end of each session, participants take a Quiz to complete their learning unit and earn a Certificate of Completion once all quizzes have been passed successfully.

Accreditation and CPD Recognition

This programme has been developed by the European Institute of Management & Finance (EIMF), a leading and recognised training institution.

The syllabus is verified by external subject matter experts and may be accredited by financial regulators, and general financial training accreditation bodies, such as CySEC, FCA, CISI, ICA, and ACAMS for 10 CPD Units.

Eligibility criteria and CPD Units are verified directly by your association or other bodies in which you hold membership.

Registration and Access

To register to this course, click on the Get this course button to pay online and receive your access instantly. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment.

Access to the course is valid for 180 days.

If you wish to receive an invoice instead of paying online, please Contact us here. Talk to us for our special Corporate Group rates.
  • Module 1: The Compliance Function
  • The Compliance Function
  • The Compliance Function - Mock Exam
  • MODULE 2: Anti-Money Laundering and Terrorism Financing Fundamentals
  • AML & TF Training Content
  • AML & TF Multiple-Choice Questions
  • Surfing the Web and Data Protection Training Content
  • Surfing the Web and Data Protection Multiple-Choice Questions
  • Insider Threats Training Content
  • Insider Threats Multiple-Choice Questions
  • Malicious Links Training Content
  • Malicious Links Multiple-Choice Questions
  • Malware Training Content
  • Malware Multiple-Choice Questions
  • Mobile Devices
  • Mobile Devices Multiple-Choice Questions
  • Security Outside the Office
  • Security Outside the Office Multiple-Choice Questions
  • Passwords
  • Passwords Multiple-Choice Questions
  • Physical Security
  • Physical Security Multiple-Choice Questions
  • Social Engineering
  • Social Engineering Multiple-Choice Questions
  • Spear Phishing
  • Spear Phishing Multiple-Choice Questions
  • Market Abuse Regulation
  • Market Abuse Regulation Multiple-Choice Questions
  • Bribery Fundamentals
  • Forms of Bribery
  • Why Fight Bribery
  • Anti-Bribery and Anti-Corruption Multiple-Choice Questions
  • General Data Protection Regulation (GDPR)
  • GDPR Staff Awareness Multiple-Choice Questions
  • Ethics and Compliance
  • Ethics and Compliance Multiple-Choice Questions
Completion rules
  • All units must be completed
  • Leads to a certification with a duration: Forever