Compliance: Why is it important, and how to audit it? A comprehensive view of the compliance function and processes
Date : 29 January 2026
Timing : 12:00 to 13:00 – Presentation of approx. 45 minutes followed by 15 minutes of Q&A
Language : English
CPE Points : 1
Deadline to register : 26 January 2026
Trainer name : Hervé Gloaguen
Type of session (Online training/ In-Person Training / Webinar) : Webinar
Overview
Compliance is essential in today's business environment, which is characterized by an increasingly complex and demanding regulatory framework. Compliance is also a cornerstone of many regulatory environments. And lastly, compliance is also about ethics and culture, not just rules and laws. In this webinar, we will explore a condensed, comprehensive, view of the compliance function and processes. The webinar objective is to support auditors in properly assessing the risks of non-compliance and to provide guidance on an effective audit approach to the compliance function and processes.
Who should attend?
This webinar is designed for internal auditors, as well as risk and compliance professionals seeking a concise, comprehensive overview of the compliance function.
Course description
Drawing on Hervé Gloaguen´s almost 40 years of experience as CAE and CCO of Allianz Group, managing 1´700 auditors and compliance professionals in 40 countries, this webinar provides, in a condensed way, insights, concepts, and practical examples of what the compliance function means from an internal audit perspective.
The course is structured in four sections:
- Perception problems with compliance. Common myths and realities about the compliance function in organizations.
- What is compliance, and what is its role? Definition, scope, and value of the compliance function. The confusion between the function and compliance processes in the organization. The essential role of regulatory compliance.
- Two different audit approaches to compliance.
- Collaboration between internal audit and compliance: strategies for effective coordination between the second and third lines.
Trainer bio
Hervé Gloaguen has over 38 years of professional experience in global environments and has held responsibilities across the "3 lines” within the Allianz Group (ranked #30 in the global Fortune 500). Hervé was CAE of the Allianz Group for over 12 years, managing up to 900 auditors in over 40 countries. He also led the Group's compliance function (CCO), with 800 compliance professionals. Hervé has accumulated significant operational experience as a member of the Board of Management of Allianz France for 5 years (one of the Allianz Group largest companies after Germany: 12,000 employees, €12 billion in revenue). He founded and led Allianz Banque as co-CEO for 6 years. He has also gained extensive experience in corporate governance, chairing Allianz Africa and serving on the supervisory boards of several Allianz Group companies. Hervé was also a member of the Allianz Group's ESG Committee.
After retiring from Allianz, Hervé founded and is the CEO of Paracas-Advisors GmbH since September 2023. He advises audit, compliance, risk, and control managers and contributes to several learning platforms and institutions through conferences, classes and webinars.
He is a member of the Advisory Audit Committee of the United Nations Office for Project Services (UNOPS) in Copenhagen.
Hervé graduated from HEC in France (Grande Ecole: business master's degree) and is pursuing a PhD at Bocconi business school in Milan. He is a French national and speaks English and Spanish, with basic knowledge of German. He has personal roots and has lived in France, Germany, Peru, Spain, the United Kingdom, and Hong Kong.