Date: 16 February 2027

Timing: 9am – 5pm

Language: English

CPE points: 7

Deadline to register: 12 February 2027

Trainer name: Hervé Gloaguen

Overview

In this one-day (8-hour) online course, you will learn a clear, structured approach to auditing compliance in financial services.

You will explore three key areas:

• The Compliance Risk Universe (CRU): identify and prioritize compliance risks.
• The Compliance Management System (CMS): understand its six building blocks.
• Governance and maturity models: coordinate the different stakeholders involved.

These tools will help you align compliance activities strategically with your organization's risk appetite and with regulatory expectations.

Learning Objectives

• Internal auditors will gain a systematic, high-level understanding of compliance risks and processes.
• Compliance professionals will learn to evaluate and improve the design and effectiveness of their CMS and to help their organization align compliance activities with its risk appetite and regulatory expectations. 

Who Should Attend?

• Internal auditors in financial services
• Compliance and risk professionals

Course Programme

1. Compliance Risk Universe (CRU)

Objective

Develop a transversal view of compliance risks in order to prioritize them and align them with the organisation's risk appetite. 

Key Topics

• Main compliance topics in financial services
• Connecting the dots and setting priorities
• Financial crimes: AML, sanctions, fraud, gifts and entertainment
• Consumer protection
• Data privacy and data ethics
• Banking, asset management and insurance regulations
• Market compliance
• ESG and human rights topics
• Regulatory compliance 

Outcome

Define a clear compliance risk universe for strategic engagement planning and develop a systematic understanding of risk. 

2. Compliance Management System (CMS) and the Compliance Organization

Objective

Understand and evaluate the design, effectiveness and maturity of an organisation's Compliance Management System and discuss how a successful compliance function is organised. 

Key Topics

The six building blocks of a CMS:

• Strategy
• Governance & Organisation
• Risk Management
• Architecture
• People
• Culture

Additional topics:

• Structure of compliance functions
• Compliance maturity assessment framework 

Outcome

Gain a complete understanding of the responsibilities of a compliance function.

3. Audit and Assurance Approaches to Compliance Activities

Objective

Explore practical approaches to auditing compliance while delivering strong assurance to stakeholders. 

Key Topics

• Audit objectives and corresponding audit approaches
• Stakeholder expectations
• Transversal audit approach to compliance
• Audit programme benchmarks
• Corporate Compliance Program assessment based on the U.S. Department of Justice framework
• Assurance mapping
• Reliance on second-line compliance activities
• Collaboration between internal audit and compliance
• Expectations of audit committees, regulators and external auditors 

Outcome

Deliver value-adding compliance audits and build a strong assurance framework. 

Trainer Biography

Hervé Gloaguen has more than 38 years of international experience and has worked across all three lines of defence within the Allianz Group. He served as Group Chief Audit Executive for more than 12 years and managed audit activities covering insurance, asset management and banking operations across 40 countries and up to 900 auditors.

He subsequently transformed and led Allianz's global compliance function, managing around 800 compliance professionals following a major compliance incident in 2020.

He also served on the Board of Management of Allianz France, co-founded and led Allianz Banque, chaired Allianz Africa and participated in several supervisory boards and ESG committees.

Since 2023, he has been CEO of Paracas-Advisors GmbH, advising audit, compliance, risk and control leaders and contributing to learning institutions through conferences, courses and webinars.

He is currently a member of the Advisory Audit Committee of UNOPS in Copenhagen.