Certified Compliance Specialist

In the era of rapid market change, banks and other financial institutions are not judged only by their quantitative metrics (performance indicators, returns, risk measures, etc). Nowadays, the importance of the qualitative elements in a modern banking operation is perhaps of an equal or of a higher weight. The readiness and adaptability status for the growing regulatory guidelines and directives, on both local and international level, are elements that build or destroy the fame and reputation of an institution.
These elements guarantee the protection of the bank and its stakeholders from money laundering, fraud, corruption and other shady practices, cultivating a spirit of efficiency and responsibility for the design and selection of processes and resources. These are the drivers for a successful and reputable operation.
This course will give you the benefit of following latest trends and developments from the regulatory perspective, equip you with best practices knowledge from the international arena, and assist you in developing the skills to understand and mainly to implement a proper compliance plan for your organization. 


L. Burke Files

L. Burke Files

Prior to founding Financial Examinations & Evaluations, Inc. in 1993 an independent international investigative and consulting practice, Mr. Files was a partner in a regional consulting firm specializing in business, financial and securities consulting. Mr. Files served as the Director of Corporate Finance for an investment banking company and the Principal of a business and venture capital consulting firm specializing in reorganizations and municipal financing for medium sized power plants and a director of an IFC Trust company and has advised and worked for many IFC financial services since 1986. Mr. Files has worked internationally since 1986 and has advised clients in over 60 countries and visited over 100. He is a sought after expert and speaker on financial matters such as due diligence, anti-money laundering, fraud prevention, intellectual property and more. His speaking engagements have been carried him to five continents.

He is a co-author of several pieces of legislation dealing with everything from Fund Management to LLC and Cell LLCs. He is also the author of the award winning book Due Diligence for the Financial Professional, 2nd Edition, and Publisher Aegis Journal in 2010 now in its second printing. He is also the author of a few white papers and many articles

Mr. Files is active in many civic organizations. He is a past Chairman of the American SouthWest Foundation, a non-profit political and economic think-tank. Mr. Files has served as a member of the Governor’s Board on Solid Waste Management, as an advisor to the Governor’s Board on Economic Planning and Development and a former Commissioner of the City of Tempe Transportation Commission. Mr. Files has also received a Commission and a Medal of Merit from the President of the United States. Some of the more notable engagements, co-Lead contractor working with the Asian Development Bank to help draft the Anti-Money Laws of Pakistan, Working with the Government of Yemen on basic due diligence as they took over operations from private oil companies, for several governments he is the provider deep backgrounds on applicants for economic citizenship, and worked as part of team to aid large banks with their compliance issues. He has also worked with banks to develop a more real compliance process to avoid compliance issues. 

Burke is a field expert of Interfima.


Module 1
Compliance Programs
Compliance Perspectives
Why do we Need Compliance?
Module 2
International Regulatory Drivers and Controls
Market Forces
USA Regulation and Practice
Module 3
Corporate Governance Perspectives and the Regulatory Framework
Myths and Misconceptions
Corporate Governance Perspectives
Regulatory Framework for Corporate Governance
Module 4
Ethics, Compliance and Governance Perspectives
Ethics, Compliance and Governance
Module 5
Developing a Corporate Compliance Program
The Four pillars
Module 6
Codes and Corporate Compliance Systems
Module 7
Money Laundering
Money Laundering

Benefits of the Course:

  • Understand the role and meaning of compliance for your organization
  • Benefit from applying compliance best practices and mitigate risks for non-compliance
  • Design and implement processes, rules and procedures for a enterprise wide plan, and match it with corporate governance ethics and AML guidelines
  • Generate a compliance mentality for your employees and engage them in its cultivation and enhancement

Who Should Attend?

  • Compliance professionals
  • Legal advisors and attorneys
  • Compliance directors, manages and officers
  • Auditors and audit managers
  • All other related professionals, consultants, accountants, etc

Certification & Accreditations

Attendees will be awarded with a Certification of Achievement upon successful completion (examination). 

  • This course is listed on FINRA Learn more.
  • This course is accredited by MENJE Lux (Luxembourg Ministry of Education).

Final Exam

In the final exam you will be asked to answer twenty (20) multiple choice questions. The passing grade is 70% (14/20 correct answers).

Additional Information

Learn about the education / continuous education requirements and more at Certified Courses.



You can submit the final exam anytime before 15-Feb-2019
3 months
Slide Presentation
70% passing grade