General Regulation

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Compliance officers RCSI professional licence

How to get the RCSI professional licence

Published on May 24, 2013

Each year, two examination sessions and two training sessions are organised by the AMF for the award of the Investment Services Compliance Officer (RCSI) professional licence. To enrol their staff, asset management companies must send a full enrolment file to the AMF.

Examination enrolment

The examination application file for the RCSI professional licence must be completed and sent by the investment services provider to the Autorité des Marchés Financiers, in accordance with the terms set out in the annexe to AMF Instruction n°2006-09 of 07 November 2006 - Examen pour l'attribution des cartes professionnelles de responsable de la conformité et du contrôle interne et de responsable de la conformité pour les services d'investissement (in French only).

The amount of the examination enrolment fees is €100.

It is preferable that when the candidate appears in front of the panel of examiners, they should already have a good knowledge of the service provider for which they are to hold office as well as being familiar with the function. It is therefore not advisable for a candidate who has just been recruited by the service provider or a candidate who has just taken up their functions as compliance officer to appear in front of the examiners without an experience of around six months in that position with the service provider. You are reminded that in application of the provisions of Article 313-31 of the AMF General Regulation, a service provider may ask the AMF for an authorisation to appoint an RCSI who does not hold the corresponding professional licence for a period of six months, renewable once, as long as the person in question exercises their functions in conditions complying with the regulations.

Training course enrolment

Continuous vocational training contract The AMF is accredited as a training organisation empowered to sign continuous vocational training contracts. Those investment service providers that are interested can download the simplified continuous professional training contract, fill it out and return two signed copies to the Autorité des marchés financiers, along with the examination and/or training course enrolment application. At the end of the training course, one of the two copies will be sent by the AMF to the investment service provider, along with a presence sheet if requested.

Service providers wishing to enrol one or several staff for the training course only can use the downloadable enrolment form at the bottom of the page.
The total cost of taking part in the training course is €750.

The course capacity of the AMF is 57 people. If this number should be exceeded, priority for the training will be given to candidates taking the examination. For those persons enrolling for the course only and who cannot be taken, they may be given priority for enrolment for the following session.

This preparatory training for the examination to award compliance officer professional licences should not be confused with the Compliance Officer Training Day which is held once a year. The purpose of this annual gathering is to provide compliance officers with an opportunity to enhance their knowledge and professional practices.

Your contact at the AMF

Do you have a question about the training courses? Or the RCSI examinations?
Contact the RCCI/RCSI units of the Asset Management Directorate at the Autorité des Marchés Financiers by telephone on (+33)1 5345 6406

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Legal information
Head of publications: Florence Gaubert, Executive Director of AMF Communication Directorate.
Contact: Communication Directorate – Autorité des marches financiers 17 place de la Bourse – 75082 Paris cedex 02