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Compliance Courses & Regulatory Training

Financial and regulatory compliance in business in the network of policies and processes which govern and organisation’s financial activity. Particularly relevant to institutions in the financial services industry, financial and regulatory compliance ensures that an organisation conforms to national and international rules, regulations and standards.

Develop a strong compliance culture in your organisation by attending professional training courses for financial services institutions. Find open courses, arrange in-house training for your staff and start by requesting more information from the training providers below.

The Compliance Graduate Programme
CCL Academy
2 days
995 GBP
London
Delivered over two days, the CCL Academy Compliance Graduate Programme provides new compliance staff with a thorough overview of the...
Compliance in the Public Sector
SR Supply Chain Consultants
1 day
199 GBP
Preston
Designed for procurement professionals operating in the public sector, this Compliance in the Public Sector course takes a comprehensive look at...
Introduction to Compliance
CII - The Chartered Insurance Institute
         
(1)
1 day
220 GBP
London
This Introduction to Commercial Insurance course provides an overview of the development of the commercial insurance market, providing the foundational...
CISI - Regulation & Compliance
Risk Reward Limited
4 days
2,495 GBP
London
The Diploma in Investment Compliance is a global qualification that offers a clear career pathway for compliance specialists and practitioners....
CISI - Global Financial Compliance
Risk Reward Limited
3 days
1,395 GBP
Multiple (2)
This globally portable qualification will provide you with a broad understanding of the compliance issues that arise within the financial...
Introduction to Compliance
CII - The Chartered Insurance Institute
1 day
Nationwide
This Introduction to Commercial Insurance course provides an overview of the development of the commercial insurance market, providing the foundational...
CISI Regulation & Compliance
Fitch Learning
7 days
620 GBP
London
This course forms a part of the CISI Diploma in Investment Compliance. The 7 days instructor led classroom lectures take place over...
ICA Certificate in Compliance
International Compliance Training
         
(30)
3 months
580 GBP
Multiple (5)
This ICA Certificate in Compliance training course is introductory and provides a comprehensive overview of the guiding principles in compliance...
The Role of the Compliance Officer
CCL Academy
1 day
799 GBP
London
CCL's   Role of the Compliance Officer course is designed for professionals with compliance oversight responsibilities. Delivered over the course...
Financial Crime Compliance
London Corporate Training Ltd
1 week
2,650 GBP
London
The overall goal of this programme from Financial Crime Compliance is to bring attendees up to speed with the best practices...
Effective Compliance Monitoring
CCL Academy
1 day
495 GBP
London
Despite the regulator's current focus on ensuring that senior managers fulfil their responsibilities, the need for the compliance function to...
Certified Compliance Professional
LEORON Professional Development Institute
5 days
Multiple (2)
Through this comprehensive five day course participants will gain the required skills and knowledge needed to successfully develop their careers...
Compliance Basics Programme
Searchlight
Self-paced
280 GBP
Distance
This Compliance Basics training programme is offered as an e learning course from Searchlight. This online programme has been designed...
International Compliance Officer Certificate
CCL Academy
2 days
9,150 AED
Dubai
CCL's   International Compliance Officer Certificate is a CISI (Chartered Institute for Securities & Investment) endorsed programme that provides participants...
The Certified Compliance & AML Manager Award
CCL Academy
5 days
4,595 AED
Dubai
It is increasingly important for Compliance and AML Managers to keep up to speed with regulatory developments and best practice...
ICA Advanced Certificate in Legal Compliance
International Compliance Training
6 months
1,675 GBP
London
The workload and complexity of issues encountered by law firm compliance officers and managers is increasing daily as a result...
ICA Diploma in Governance, Risk and Compliance
International Compliance Training
         
(18)
9 months
3,350 GBP
Multiple (2)
The challenges compliance professionals face mean it is vital to have the right knowledge and skills. The ICA Diplomas in...
Risk Management Essentials for Compliance
CCL Academy
1 day
495 GBP
London
This training course in risk management is designed to equip compliance professionals with a good understanding of risk management approaches,...
ICA Advanced Certificate in Compliance
International Compliance Training
         
(19)
6 months
1,675 GBP
Multiple (2)
This ICA Advanced Certificate in Compliance training course is an intermediate level programme that aims to provide delegates with a...
Risk-based Compliance Monitoring under the FCA
Corporate Training Partnerships
1 day
595 GBP
Multiple (2)
This highly practical 1 day training course will help Compliance and Monitoring professionals identify the principle compliance risks in their...
Persuading & Influencing for Compliance, Risk & Audit
Corporate Training Partnerships
1 day
595 GBP
London
Those working in Compliance, Audit and Risk functions within financial institutions will be acutely aware of the difficulties inherent in...
ICA Professional Postgraduate Diploma in Financial Crime Compliance (FCC)
International Compliance Training
12 months
6,950 GBP
Oxford
This PG Diploma in Financial Crime Compliance (FCC) has been designed for senior level industry practitioners and will cover key...
The Advanced Diploma in Compliance & Financial Crime
CCL Academy
12 days
44,000 AED
Dubai
Developed in collaboration with Henley Business School and the ICMA Centre, CCL's Advanced Diploma in Compliance & Financial Crime is...
Effective Written Communication for Compliance, Audit & Risk Professionals
Corporate Training Partnerships
1 day
595 GBP
Multiple (2)
This highly practical training course enables professionals in Compliance, Audit or Risk Management roles to recognise and apply written communication...
VAT Compliance Diploma
Tolley
Flexible
Distance
This VAT Compliance Diploma is a qualification developed by the Institute of Indirect Taxation for those with little or no...
Risk-based Compliance Monitoring - In House Training
Corporate Training Partnerships
1 day
Nationwide
This in house training course is designed for Compliance and Monitoring teams, to help them identify the main compliance risks...
Written Communication for Compliance Professionals - In House Training
Corporate Training Partnerships
1 day
Nationwide
This highly practical training course enables professionals in Compliance, Audit or Risk Management roles to recognise and apply written communication...
ICA Professional Postgraduate Diploma in Governance, Risk & Compliance
International Compliance Training
         
(3)
12 months
6,950 GBP
Oxford
Developed specifically as an advanced programme for senior industry practitioners in the UK, the ICA Professional Postgraduate Diploma in Governance,...
Effective Written Communications for Compliance, Risk and Internal Audit Professionals
European Institute of Management and Finance (EIMF)
6 hours
250 EUR
Limassol
Through this intensive and highly practical one day course professionals in compliance, risk and audit roles will learn to improve...
Understanding Regulation & Compliance
FSTP
1 day
595 GBP
London
Confidence in the industry was shattered by the financial crisis. Governments have introduced comprehensive and radical regulation as a way...
Creating and Managing Compliance
Zoe Talent Solutions
5 days
2,997 USD
Multiple (4)
The training program specialises in the key factors of compliance necessary for organisations to prevent fraud and minimise risks. The...
Meeting the Regulatory Expectations and Responsibilities of Approved Persons
Corporate Training Partnerships
0.5 days
395 GBP
London
This practical workshop is designed as a an effective preparation for regulatory visits or part of the induction  or CPD...
Certified Corporate Compliance Specialist (CCCS)™
Ethan Hathaway
4 days
1,890 USD
Multiple (8)
This training gives you the building blocks needed to be an effective Corporate Compliance professional....
Regulatory Expectations of SIFs - In House Training
Corporate Training Partnerships
1 day
Nationwide
This intensive training course is designed as an effective preparation for the regulatory visit or as part of the induction...
Accredited Level 3 Diploma in Compliance Management
Oxford Learning College
1 year
850 GBP
Distance
This diploma is designed to explore Compliance Management. Within this course you will learn how changes in compliance management practice...
Introduction to the UK Regulatory Environment
Moody's Analytics
1 day
495 GBP
London
This 1 day seminar provides a comprehensive Introduction to the UK Regulatory Environment for anyone looking to start a career...
Regulatory Competence Certificate (Senior Management)
CCL Academy
1.5 days
899 GBP
London
The CCL Regulatory Competence Certificate is designed to teach senior managers the key FCA regulations and their own compliance responsibilities. The programme...
MiFID Compliance and Reporting
Eureka Financial
1 day
795 GBP
London
This one day course conducted by a City expert provides an overview of the original MiFID transaction reporting, identifies the...
MiFID II for Project Managers, Risk and Compliance
FSTP
1 day
595 GBP
London
The first Markets in Financial Instruments Directive (MiFID) was a game changer. But market developments and advances in technology have...
Certified Training Program in Governance, Risk Management & Compliance
LEORON Professional Development Institute
4 days
3,990 EUR
Stockholm
This training program from LEORON Professional Development Institute aims to provide delegates with the skills and resources necessary to help an...
Best Execution - meeting FCA expectations
Corporate Training Partnerships
0.5 days
395 GBP
London
The FCA rules, guidance and ‘standards’ for Best Execution have been in place since the introduction of MiFID seven years...
Outsourcing in Financial Services - In House Training
Corporate Training Partnerships
1 day
Nationwide
This intensive 1 day in house training programme helps firms identify and apply best practice in the governance and management...
Outsourcing in Financial Services
Corporate Training Partnerships
1 day
595 GBP
Multiple (2)
This focused 1 day workshop helps financial institutions to identify and apply best practice in the governance and management of...
Regulations & Operational Compliance for Funds
Eureka Financial
1 day
850 GBP
London
This practical one day workshop conducted by a fund management veteran will equip you with the most up to date...
AML - Anti-Money Laundering
Eureka Financial
1 day
850 GBP
London
This course is designed to support an effective AML compliance program through sound risk management. Participants receive guidance on risk...
FATCA
Eureka Financial
1 day
742 GBP
Multiple (2)
With US FATCA legislation now published, the major focus is now on Reporting Solutions Considerations that is effective but not...
Investigative Interviewing - In House Training
Corporate Training Partnerships
2 days
Nationwide
This two day Investigative Interviewing in house course designed by CTP is based upon the PEACE model P lanning and...
ICA Certificate in Corporate Governance
International Compliance Training
         
(1)
3 months
595 GBP
Distance
This 3 month course is aimed at providing delegates with a comprehensive overview of essential concepts of Corporate Governance and Compliance....
MiFID 2 – meeting the Buy-Side Challenges
Corporate Training Partnerships
0.5 days
395 GBP
London
MiFID II takes effect in January 2018, bringing major changes to market structures with significant impacts for both sell side...
Managing Conflicts of Interest
CII - The Chartered Insurance Institute
         
(2)
0.5 days
170 GBP
London
This half day course gives delegates a clear understanding of what Managing Conflicts of Interest means for authorised firms and...
  • = Has a case study
  • = Has a video
  • = This course results in CPD hours
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Financial Regulation & Compliance in Actioncompliance and regulatory training courses for financial specialists

Financial regulation is the formal regulation and supervisions of the financial activities of companies, institutions and organisations. Commonly created, managed and enforced by government bodies and their supporting institutions, financial regulation works to protect market confidence, ensure long-term economic and financial stability of a market and organisation, enforce measures of consumer protection and discourage and monitor financial crime.

Regulatory compliance refers to the responsibility of companies and organisations to adhere to the legal rules and directives established to ensure financial equity, a fair competition and a transparent activity in the market. Financial compliance derives from a country's legal framework and is put in place by legal councils and supervisors that adapt parameters of the financial services compliance based on the market premises

Financial regulations apply principally to financial institutions, such as banks, as well as
the professionals and individuals who purchase financial services and products, such as shares, insurance products or private equity services. From a general perspective, regulatory compliance offers organisations and institutions a framework and system for ensuring that they are operating fairly and securely. In complying with relevant laws and regulations, common requirements include compiling, storing and releasing information records and data on all financial transactions and activity throughout an organisation. Compliance Monitoring training courses are available for those in this role. Further, verification of financial and regulatory compliance allows institutions to demonstration to clients and the public that they are trustworthy.

What does it take to be financially compliant in a competitive environment?

compliance and regulatory training courses for financial professionalsFinancial compliance in a competitive environment is about more than just knowing the rules. It’s a process of meticulous record-keeping, monitorisation of all financial activity, a company culture that encourages compliance and informative training on the latest changes to rules and regulations.

Training courses for professionals working in financial services organisations cover a wide range of topics relevant to success in regulatory compliance. From foundational courses in the basics of adhering to compliance and Introductions to region-specific or industry-specific regulations to master classes in managing regulatory compliance and a high level, there is a training programme for every task.

Additionally, training courses provide candidates and companies with a platform for gaining a greater understanding of the role of compliance in modern financial services businesses. Professional training in compliance is designed to help delegates identify the key risks faced by differing types of financial institution and illustrate how the challenges a compliance function faces can be overcome.

Training for Compliance Specialists

Compliance specialists dedicate their work to effectively recognising the human factors that may prevent financial compliance. In terms of professional training options, courses for specialists in financial compliance seek to guide management teams towards a 100%-compliant organisation. When teams are keen to learn more about what to expect from compliance departments and how to advise members of indirect compliance functions, training courses provide immediately transferrable knowledge, tools, skills and systems.

In the insurance industry, the need for regulatory compliance is great. Such a regulatory environment requires organsations to meet the latest standards and ensure a fair competition in the national market. To a large extent, the UK compliance framework follows the EU legislation, by focusing on aspects of equity, transparency and data security. The main supervising bodies in compliance for the UK financial sector are the Financial Services Authority (FSA), the Financial Reporting Council, the Information Commissioner's Office and the Environment Agency.