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Compliance & Regulatory Courses

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.

Browse the list of compliance & regulatory courses below and complete information requests for any that may be of interest to you.

Introduction to Compliance
Searchlight
1 day
250 GBP
London
To a lot of business people regulatory compliance can appear if not daunting, then rather dreary and unexciting. As a...
Anti-Financial Crime & Compliance
IFF - International Faculty of Finance
3 days
2,199 GBP
London
The Anti-Financial Crime and Compliance course is designed to offer a focused overview of the current key areas of financial...
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
Manchester
Designed for procurement professionals operating in the public sector, this Compliance in the Public Sector course takes a comprehensive look at...
Compliance Basics
Searchlight
Self-paced
Distance
This Compliance Basics training programme is offered as an e-learning course from Searchlight. This online programme has been designed to...
The role of the Compliance Officer
Searchlight
0.5 days
195 GBP
London
With regulatory emphasis now being placed firmly on application of principles-based, rather than ‘tick-box’ compliance, the compliance officer’s role has...
CISI - Regulation & Compliance
Risk Reward Limited
4 days
4,200 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
3,105 GBP
London
This globally portable qualification will provide participants with a broad understanding of the compliance issues that arise within the financial...
Roles within Compliance
Searchlight
0.5 days
195 GBP
London
Compliance roles are often glossed over  However it is important to establish strict guidelines as to the responsibilities of the...
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...
Certified Compliance Professional (In-house)
LEORON Professional Development Institute
5 days
4,190 USD
Worldwide
Through this comprehensive five-day course participants will gain the required skills and knowledge needed to successfully develop their careers in...
Compliance Checklists (NIST Framework)
Learning Tree International
1 day
London
You Will Learn How To Assess your organization's regulatory environment Distinguish among risk management frameworks Identify and remove barriers to...
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...
Financial Crime Compliance
London Corporate Training Ltd
1 week
Worldwide
The overall goal of this programme from Financial Crime Compliance is to bring attendees up to speed with the best practices...
Certified Compliance Professional
LEORON Professional Development Institute
5 days
4,190 USD
Dubai
Through this comprehensive five-day course participants will gain the required skills and knowledge needed to successfully develop their careers in...
Effective Compliance Monitoring
CCL Academy
1 day
499 GBP
London
Despite the regulator's current focus on ensuring that senior managers fulfil their responsibilities, the need for the compliance function to...
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...
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...
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...
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 in their...
Compliance/Risk Officer Level 3 Apprenticeship
BPP Professional Education
1.5 years
Nationwide
Our guided teaching is delivered through a mix of live webinars delivered by a BPP University tutor, 24/7 access to...
ICA Diploma in Governance, Risk and Compliance
International Compliance Training
         
(18)
9 months
3,350 GBP
Multiple (11)
The challenges compliance professionals face mean it is vital to have the right knowledge and skills. The ICA Diplomas in...
Trade Surveillance & Market Compliance
Risk Training
2 days
1,999 USD
London
This two-day course from Risk Training will discuss trade surveillance, exploring the tools of the trade and case studies on...
ICA Advanced Certificate in Compliance
International Compliance Training
         
(19)
6 months
1,675 GBP
Multiple (9)
This ICA Advanced Certificate in Compliance training course is an intermediate level programme that aims to provide delegates with a...
How to carry out a compliance audit
Searchlight
1 day
195 GBP
London
The importance of an internal audit function relating to the broking/intermediary/insurance industry needs to be re-emphasised and an effective internal...
Risk-based Compliance Monitoring under the FCA
Corporate Training Partnerships
         
(5)
1 day
645 GBP
London
This highly practical 1-day training course will help Compliance and Monitoring professionals identify the principle compliance risks in their business...
Trade Surveillance & Market Compliance (In-House)
Risk Training
2 days
1,999 USD
Nationwide
This two-day course from Risk Training will discuss trade surveillance, exploring the tools of the trade and case studies on...
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 topics faced...
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...
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...
Postgraduate Diploma/LLM in: Financial Services Law, Regulation and Compliance
KNect365 Learning
         
(1)
Online
9,185 GBP
Distance
Postgraduate Diploma/LLM in: Financial Services Law, Regulation and Compliance The purpose of the course is to enable you to: develop...
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 Communication for Compliance, Risk and Audit
Corporate Training Partnerships
         
(4)
1 day
645 GBP
London
This highly practical training course enables financial services professionals to recognise and apply written communication techniques that will make reports...
Best Execution – meeting regulatory requirements under MIFID II
Corporate Training Partnerships
         
(7)
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...
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 their...
Diploma in Compliance Leadership
CCL Academy
12 days
1,750 GBP
London
The Diploma in Compliance Leadership is brought to you by CCL Academy in association with the ICMA Centre, Henley Business...
Governance, Risk Management and Compliance (GRC)
Informa Middle East
4 days
Dubai
A Certificate of Attendance from Informa Middle East is issued on course completion....
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...
MiFID II – New Requirements for Investment Managers
BPP Professional Education
3 hours
300 GBP
London
Introduction to the directive Political background: what the EU thinks it is doing Timing of introduction of new requirements: how...
Money Laundering & The Bribery Act
BPP Professional Education
6 hours
420 GBP
Manchester
Money Laundering and Bribery are two key areas for solicitors, requiring compliance with legislative and professional guidelines. Compliance with money...
Introduction to the UK Regulatory Environment
Moody's Analytics
         
(6)
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 in...
Accredited Level 3 Diploma in Compliance Management
Oxford Learning College
1 year
850 GBP
Distance
INTRODUCTION This diploma is designed to explore Compliance Management. Within this course you will learn how changes in compliance management...
10 Days Masterclass on Information and Documentation Compliance
Zoe Talent Solutions
10 days
Worldwide
A useful and productive program for professionals interested in understanding information and documentation compliance, document and records management, enterprise content...
Effective Compliance Leadership (Advanced Diploma Series)
CCL Academy
2.5 days
9,150 AED
Dubai
The one-person Compliance function is a comparative rarity today. Most functions operate with a team of people in diverse locations....
Risk Management for Compliance Officers (Advanced Diploma Series)
CCL Academy
2.5 days
9,150 AED
Dubai
Part of the challenge of a senior compliance officer is to have sufficient understanding of the markets, the products and...
10 Days Masterclass on Information and Documentation Compliance
Zoe Talent Solutions
10 days
5,247 USD
Multiple (7)
A useful and productive program for professionals interested in understanding information and documentation compliance, document and records management, enterprise content...
FCA Supervision of the Insurance Market
Searchlight
0.5 days
London
1 April 2013 marked the introduction of a new regulatory regime for the UK’s financial services sector. The FSA was...
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 changes...
AEI: CRS & FATCA Reporting & Compliance
Eureka Financial
1 day
795 GBP
London
This practical 1 day course provides a thorough examination of both regimes, presenting a comparative review and analysis of key...
  • = Has a case study
  • = Has a video
  • = This course results in CPD hours
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Financial Regulation & Compliance in Action

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?

Financial 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 transferable 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.

Compliance & regulatory courses are available for those starting out in the industry as well as for the professional looking to stay abreast of the latest developments.