Compliance/Regulatory for Financial Services (In-house Course)

Compliance/Regulatory for Financial Services (In-house Course)

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Course Description


This course covers the fundamental for compliance/regulatory matters. The challenges faced by a compliance officer requires them to have the right knowledge and skills to ensure they can deliver on their jobs effectively.

Who should attend?

This course has been specifically designed for the benefit of Compliance Officers and Legal Department officers in the finance sector

About Instructors

Attendees will learn about

  • How to successfully structure and manage an effective compliance function within any financial services institution
  • The impact of an ineffective compliance program and the comprehensive loss of revenue, trust, and reputation resulting from a weak compliance environment
  • How regulatory changes can quickly impact your organization and bottom line and the need for financial services regulation
  • The various methods and approaches to compliance with regulatory requirements
  • How to prepare for intense regulatory scrutiny and examinations
  • The use of the compliance function as a risk mitigator
  • Anti-Money Laundering
  • Bribery and Corruption
  • Data Protection and Information Security
  • Market Abuse
  • The skills required to succeed as a compliance officer

Class Size Requirement
There is a minimum requirement of five (5) persons per class for our in-house courses.

Further Enquiries
For further enquiries please contact our learning advisors by calling +234 1 293 1980 or email and we promise to respond in less than 24 hours.

Justina Lewa is the Company Secretary and Legal Adviser of Sterling Bank Plc and in that capacity supervises various functions in the Group. Justina, in her leadership role, oversees Board matters and company secretarial activities. She is also responsible for handling all legal matters of the Bank. With over 23 years’ experience in corporate legal practice, she has drafted, reviewed and advised on several complex transactions and Agreements on project and asset based financing, public & private debt equity issues, loan syndications, Power, Oil & Gas, and Mergers & Acquisitions etc. Read More…

Sola attended the University of Ibadan, Ibadan, Nigeria where he obtained an LLB Hons. in 2004. He was admitted to the Nigerian Bar in 2005 and is a member of the Nigerian Bar Association. He is also an Associate Member of the Chartered Institute of Arbitration, United Kingdom. After years in a top-tier litigation firm, ‘Sola has acquired a wealth of experience in Corporate Commercial Law which spans across several industries including Banking, Real Estate and Insurance. Read More…

Stanley currently works as the Company Secretary & Head of Legal of Law Union and Rock Insurance Plc. He has had more than 10 years experience in the legal industry in Nigeria. He graduated from the University of Leicester as a Master of Laws (LL.M.) in International Commercial Law.

About Instructors


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