Overview:
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.
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
Who should attend?
This course has been specifically designed for the benefit of Compliance Officers and Legal Department officers in the finance sector