Certificate - Financial ComplianceCertificate - Control of compliance in Financial Markets

PRESENTIAL : March 25, 2021 / ONLINE : May 17, 2021
Certifying training in presential or online
No prerequisite
Presential: 5170€ TTC / Online: 3500€ TTC


Since the subprime crisis of 2008 and the various accidents and offenses on the financial markets, an imperative need has been to Design and Set up Financial Products compatible with the needs of companies and respecting rigorous specifications in terms of security and risk control of these products mainly issued by banks and financial institutions.



This certifying training is aimed particularly at professionals in the finance professions in a broad sense but it also concerns all professionals from the various professions who are confronted with the problems of management control and certification of operations on the financial markets.



Official mentions

Official title appearing on the diploma: Certificat de compétence


Registered RNCP: 34338  BLOC 5 Contrôler la Conformité des opérations sur les marchés financiers

NSF codes: 313 Finance Banque Assurances Immobilier

ROME Code: M1207 - Trésorerie et financement M1201 - Analyse et ingénierie financière C1302 - Gestion back et middle-office marchés financiers C1301 - Front office marchés financiers


Description of the PRESENTIAL program: 10 days


Internal control techniques Banking regulations - 25, 26 and 27 March 2021


Management control methods linked to banking regulations, in particular those of the AMF and European texts (MIFID, MAR ° market abuse EBA Stress tests, CRD, AML, etc.)


• Financial Markets Law / conceptual framework and regulations - April 6 and 7, 2021


Regulates the various counter markets counter and organized listed markets, financial market players (investment firms, market firms such as Euronext, supervisory authorities, AMF) and market activities (transactions on financial instruments).


• Learning: data management software to monitor flows and operations - May 3, 4 and 12, 2021


Master data management tools and software in monitoring the flow of operations. Learning R, Python, VBA software.


• Delinquency and Financial Crime - June 3 and 4, 2021


Illegal financial activities, escaping the laws of different countries, money laundering techniques, scams. Implementation of the means of fight against this delinquency, etc.




• Ensure the compliance control of procedures and positions statement on the financial markets, in order to guarantee the security of transactions for all stakeholders.

• Constitute a platform for monitoring traders in the trading room, in order to evaluate operators' positions in real time and report any exceedances of authorized limits.

• Advise financial institutions and companies on the compliance of their financial procedures, in order to maintain the essential level of confidence concerning international clients, as well as a favorable assessment of rating agencies.



• Provide knowledge and understanding of compliance mechanisms, both for investors and financial institutions, banks and for industrial and commercial companies.

• Allow career reorientation towards Compliance.



- Compliance Officer, Compliance Analyst

- Control: Risk Manager

- Compliance control manager

- Ethics compliance projects Manager

- Permanent control and compliance officer

- Compliance lawyer



Benoit Tartarin, MBA Trading-Financial Market ESLSCA 2014, MBA Marketing Entrepreneurship, Ballarat University Australia Global Compliance Advisory for Treasury & Benchmark Submissions at Société Générale Corporate & Investment Banking and since November 2019 at Commerzbank in Paris


• Moundir Akabsi, Doctor of Law, Lawyer, Director of the MBA International Business Law ESLSCA


• Hervé Sun, Politechnician and Doctor of Applied Mathematics from Dauphine, MBA Trading-Market Finance ESLSCA 2014


10 days

  • March 25, 26 and 27​, 2021

  • April 6 and 7, 2021

  • May 3, 4 and 12, 2021

  • June 3 et 4, 2021