An Introduction to Compliance
Time & Location
About the Event
Course Summary
Designed for participants wishing to learn about Compliance or looking to work towards becoming a Compliance Officer in the financial services industry.
Introduction
This course is at an introductory level and it is assumed that participants will have a basic knowledge of regulatory compliance. Details provided in this course will equip participants with the knowledge of regulatory compliance within the financial services industry and the responsibilities of the Compliance Officer function.
Topics
The definition of compliance – why regulate?
The regulatory background
Implementation of the correct policies, procedures, and internal controls
The role of corporate governance
Duties and responsibilities of a Compliance Officer
The Compliance Monitoring Programme
A director’s role in Compliance
Regulatory visits – key elements
Recent penalties
Course Benefits
After attending the course, participants will:
Be aware of the importance of compliance within the financial services industry and its impact
Understand their own responsibilities and what is required to ensure compliance
Have gained an awareness of the regulatory requirements
Be able to identify any compliance deficiencies within the workplace
Recognise the implications of poor compliance