Compliance Professional

DSI Register

Organisations and businesses active in the financial sector are subject to an increasing number of requirements. These companies also frequently institute detailed norms for integrity to manage the organisation’s risks. Managing compliance risks requires considerable knowledge and skill from the responsible employees. A listing in the DSI Compliance Professional register shows that the professional meets the strict requirements stipulated by the sector.

How do you apply for this certification?

Various requirements apply for admission and maintenance of this certification, ranging from admission criteria to mandatory participation in a Continuing Professional Education Program. Below is an overview of the requirements.

Certification always begins with registration at DSI. You can do this via MyDSI. This can be done before you meet all the requirements. We will then register you as a candidate-certified. Once you fully meet all the requirements, we will convert your registration to certified. View here step-by-step the application process for certification at DSI.

Admission requirements

  • General admission requirements
    • The employer or client must be a DSI participant;
    • The candidate must complete a registration screening, unless previously screened by AFM/DNB for current position;
    • The candidate must agree to, and abide by the DSI Code of Conduct;
    • The candidate must maintain their level of knowledge of legislation and regulations;
    • Since 2020, DSI-certified investment professionals must participate in an annual programme to maintain their professional expertise: the Continuing Professional Education Programme. For more information, click here.
  • Knowledge

    To register for the DSI Compliance Professional register, you must have successfully completed one of the following courses:

    • VU: Postgraduate opleiding Compliance & Integriteit Management
    • NIBE-SVV Certified Compliance Officer
    • ING Compliance Officer Training NL en Compliance Officer Training International;
    • NCI: Leergang Compliance Professional
    • The Ministry of Compliance (TMoC): DSI Qualified Compliance Officer

    Comparable (foreign) compliance courses may suffice under certain conditions.

  • Work experience

    During a 12-month period (fulltime equivalent) over the past five years, the Certified Professional has spent a substantial portion of his/her time on register-related activities, whether in the current position or in previous positions.

  • Certification fees

    You can find the fees for DSI Certification here.

Register Compliance Professional

For specialists such as compliance officers, CDD analysts and KYC analysts

What does the Compliance Professional register entail?

More information

Which professionals are listed in the register?

More information

What does the Continuing Professional Education Program entail?

More information

What does the register entail?

The DSI Compliance Professional register is intended for compliance professionals working in the financial sector. A listing in the DSI Compliance Professional register indicates that the professional possesses sufficient knowledge and skills pertaining to the applicable legislation and regulations, compliance risks and the solution of compliance incidents. In the financial services sector, the legislation and regulations deal with the rules imposed on companies and institutions by the government and financial supervisory bodies like De Nederlandsche Bank (DNB) and the Financial Markets Authority (AFM).

A registered professional must comply with the ESMA guidelines in the areas of knowledge and competency. The branch organisations and DSI participants consider the successful completion of a DSI-accredited examination to be a suitable qualification for the proper conduct of the professional’s work.

Registered professionals may have one of two statuses: Certified Professional or Candidate Certified Professional. Both must comply with the Code of Conduct drawn up by DSI. The difference is in the level of education or work experience the professional has acquired. A professional can receive the status of candidate certified if they do not meet all of these requirements.

Certified Professionals listed in the DSI Compliance Professional register have successfully completed examinations for knowledge and skills. During a 12-month period (fulltime equivalent) over the past five years, they have spent a substantial portion of their time on register-related activities, and have participated in the annual DSI Continuing Professional Education program.

Who is listed in the register?

The DSI Compliance Professional register lists specialists working at security- and credit institutions, pension funds, savings banks and insurers. These specialists may be employed as compliance officers, CDD analysts or KYC analysts, for example. The compliance professionals assist the management of the financial firm in managing the financial enterprise’s compliance risks. The compliance officer is usually appointed by the organisation’s highest management body (Board of Directors, etc.). The professional is fully independent, and enjoys a high level of legal protection.

What must a registered professional know?

The knowledge that a professional registered in the DSI Compliance Professional register must possess is listed in the DSI qualifications. These qualifications were drawn up by the DSI advisory committees and DSI Accreditation Committee.

A professional listed in the DSI Compliance Professional register has acquired sufficient knowledge in the following areas:

  • knowledge of the business processes, financial products and transactions, and their characteristics (including risks) within his/her field of expertise;
  • knowledge of the internal and external compliance rules applicable to these business processes, financial products and transactions;
  • is familiar with the relevant market parties in his/her segment;
  • is familiar with the general legal framework and legislation procedures;
  • knows the objectives and structure of the compliance charter, the compliance manual, and the compliance monitoring programme;
  • familiarises him/herself with the results of compliance audits;
  • knows the individuals, structure, organisation, and authorisations of the supervisory bodies within his/her field of expertise;
  • can actively participate in the consultation process for proposed legislation.

Continuing Professional Education Program

Keeping your DSI certification up-to-date

As a DSI (Candidate) Certified Professional listed in the Compliance Officer register, you are required to successfully complete the Continuing Professional Education program each year. You can choose from a variety of education institutions that are accredited to provide the Continuing Professional Education program.

Educational Institutions

Successful completion of the DSI Continuing Professional Education programme indicates that you have met all of the legal requirements for certification. More information about the Continuing Professional Education programme can be found here.

Please note: You are free to choose your preferred provider. We recommend that you ask your employer if the organisation has made any collective agreements with the education providers.

More information

If you have any questions about the DSI Compliance Officer register, and cannot find the answers in the FAQ page, please contact one of our DSI Cusomer Care Officers. We would be happy to help you! You can contact us by e-mail via the contactform or by calling 020-6201274.