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.

Open / Scheduled
Displaying 1-50 of 162 results
Advanced Skills of the Bid and Tender Management Process
London Training for Excellence
5 days
2,515 GBP
Multiple (13)
Introduction This course has been designed to assist procurement specialists in the development of realistic and measurable evaluation criteria thus...
AIFMD
Eureka Financial
1 day
950 GBP
London
The scope of the AIFMD is broad and, with a few exceptions, covers the management, administration and marketing of alternative...
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...
AML Risk Based Approach and CDD Workshop
CCL Academy
1 day
699 GBP
London
This course will assist firms in developing a risk based approach to their AML/CDD in order to comply with the regulations. Taught...
Anti-Money Laundering Awareness Training
CCL Academy
0.5 days
299 GBP
London
This Anti Money Laundering Awareness Training course is designed to equip staff with little or no previous training in the UK AML...
Anti-Money Laundering Awareness Training
CCL Academy
0.5 days
2,000 AED
Dubai
With all regulated firms required to have appropriate tools and procedures to combat money laundering, this Anti Money Laundering Awareness...
Anti-Money Laundering, Financial Crime and Sanctions Forum
Infoline
3 days
2,497 GBP
London
This conference is the premier event for financial crime and sanctions professionals. Included alongside the conference is an interactive workshop on...
Bank Capital Adequacy Under Basel III
Answerformula
2 days
1,860 EUR
Porto
The main objective of this two day workshop is to provide participants with an understanding of how capital is regulated...
Bank Regulation: Impact and Implications of Evolving Regimes
Moody's Analytics
2 days
1,500 USD
Multiple (4)
The financial crisis and the widespread bank failures that followed have resulted in notable changes to bank regulation, which has...
Behavioural Economics
FSTP
         
(6)
1 day
595 GBP
Multiple (2)
Complex financial products can be difficult for people to understand – which increases the likelihood of poor decision making. Behavioural...
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...
CASS - Managing Client Money and Assets
Eureka Financial
1 day
575 GBP
London
The main objective of the CASS regulation is to provide adeqate protection for clients. The FCA set up high expectations...
CASS Client Asset Requirements
Corporate Training Partnerships
0.5 days
395 GBP
Multiple (2)
The FCA has now published its much awaited new rules on the protection of client assets and money for investment...
CASS Operational Oversight
CCL Academy
3 hours
499 GBP
London
A firm must arrange adequate protection for clients' assets when it is responsible for them. Principle 10 of the regulator’s...
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....
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...
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 - Risk in Financial Services
Risk Reward Limited
3 days
1,395 GBP
Multiple (2)
This comprehensive introductory qualification addresses the key techniques in identifying, reducing and managing certain risk areas in Financial Services sector...
CISI - UK Financial Regulations
Risk Reward Limited
2 days
1,050 GBP
London
This fundamental qualification underpins the key regulations in the UK’s Financial Sector from the broad perspective of the regulatory environment...
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...
Company Secretary Programme
Euromoney Learning Solutions - Financial Training
4 days
3,995 GBP
Multiple (4)
This Company Secretary Programme is designed for Directors, and anyone who is directly involved in board information preparation or board support,...
Complaint Handling under DISP
Corporate Training Partnerships
1 day
595 GBP
Multiple (2)
The Financial Conduct Authority's complaint rules (DISP) are fiddly, easy to break and regularly changing (having undergone significant revisions in...
Complaints Handling
FSTP
1 day
595 GBP
Nationwide
The FCA expects you to treat your customers fairly. Which means you must have a straightforward, transparent and fair complaints...
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...
Conduct Risk Learning Programme
CII - The Chartered Insurance Institute
1 day
250 GBP
Multiple (2)
This is a practical training programme helps participants develop an understanding of the key drivers behind conduct risk and the...
Contract Management and Formulation
London Training for Excellence
5 days
2,515 GBP
Multiple (13)
Objectives By the end of this program the participant will be able to: Understand the role and scope of the...
Creating and Managing Compliance
Zoe Talent Solutions
5 days
2,997 USD
Multiple (5)
The training program specialises in the key factors of compliance necessary for organisations to prevent fraud and minimise risks. The...
Culture & Ethics
FSTP
         
(1)
2 hours
295 GBP
London
The reputation (and revenues) of your business depends on your approach to culture and conduct risk. Large scale conduct scandals...
Demonstrating & Evidencing Suitability
FSTP
1 day
595 GBP
Nationwide
The FCA’s recent suitability review flagged a number of issues. Among the most common are hidden fees, and investment portfolios...
Developing an Effective Compliance Monitoring Programme
CCL Academy
0.5 days
499 GBP
London
Despite the regulator's current focus on ensuring that senior managers fulfil their responsibilities, the need for the compliance function to...
Digital Media under the FCA
Corporate Training Partnerships
0.8 days
495 GBP
Multiple (2)
The new and ever changing world of digital media offers tremendous opportunities and significant risks to financial services organisations, and...
Directors Guide to Surviving an FCA/PRA visit
FSTP
         
(1)
2 hours
295 GBP
Multiple (2)
The regulator is about to knock on your door. Your firm and your senior team will likely come under intense...
Do you have the right culture?
Corporate Training Partnerships
0.5 days
425 GBP
London
This focused and practical half day workshop is designed to help those responsible for establishing or influencing culture in financial...
Effective Report Writing
FSTP
1 day
595 GBP
London
The financial industry is awash with poorly written reports. No doubt you’ve read the bad ones before: they’re dull, ambiguous...
Effective Written Communication for Compliance, Audit & Risk Professionals
Corporate Training Partnerships
1 day
595 GBP
London
This highly practical training course enables professionals in Compliance, Audit or Risk Management roles to recognise and apply written communication...
Ensuring Your Audit Committee is Effective
FSTP
         
(4)
2 hours
295 GBP
London
More is expected of audit committees today than ever before. We’ll help you better understand your responsibilities, manage risk and...
EU Data Protection - Prepare for Change
Innovation Academy
2 days
1,225 GBP
London
With the introduction of the General Data Protection Regulation (GDPR), EU Data Protection Law is undergoing major changes. These changes...
Evidencing Effective Board Reporting
FSTP
2 hours
295 GBP
Multiple (2)
Good decisions require good information. Directors often blame poor information when outcomes turn bad. So naturally the board pack has...
Evidencing the Effectiveness of Good Governance
FSTP
2 hours
295 GBP
Nationwide
A seat on the board is not always a comfortable one. You have to hold management to account and make...
Evidencing the Fair Treatment of Vulnerable Customers
FSTP
4 hours
450 GBP
London
In 2015, the FCA published a report on consumer vulnerability. It was the first of its kind, and criticised a...
FATCA
Eureka Financial
1 day
675 GBP
Multiple (2)
With US FATCA legislation now published, the major focus is now on Reporting Solutions Considerations that is effective but not...
FCA Regulation of Insurance Brokers
CII - The Chartered Insurance Institute
0.5 days
170 GBP
London
This CII training course covering key Claims Management competencies is designed to help participants develop a practical working knowledge of...
Financial Crime - Introduction
Searchlight
1 day
250 GBP
London
This Introduction to Financial Crime training programme aims to provide delegates with a comprehensive overview of the threat of financial crime,...
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 Mis-selling: Understanding Structured Products and LIBOR
Central Law Training
6 hours
525 GBP
London
This course from Central Law Training is designed to investigate complex financial products and the manipulation of The London Interbank Offered...
Financial Promotion under ICOBS
Corporate Training Partnerships
0.5 days
350 GBP
London
The rules, guidance and ‘standards’ for the financial promotion of general insurance products continue to evolve. Regulatory developments, such as...
Financial Promotions under COBS - Meeting FCA Expectations
Corporate Training Partnerships
1 day
595 GBP
Multiple (2)
This intensive one day training course helps Compliance and Marketing professionals ensure compliance with the FCA's financial promotion requirements for...
Foundation in FCA Regulation
Corporate Training Partnerships
1 day
595 GBP
Multiple (2)
This focused and practical one day course provides a clear and easily digestible overview of the new FCA regulatory framework...
Fund Oversight under the FCA
Corporate Training Partnerships
1 day
595 GBP
London
In the recent Thematic Review of Outsourcing in the Asset Management Industry , the FCA were concerned that only a...
Handling Complaints in a Regulated Environment
Searchlight
1 day
225 GBP
London
Handling Complaints in a Regulated Environment is a programme is designed to provide delegates with the tools and techniques to successfully...
  • = Has a case study
  • = Has a video
  • = This course results in CPD hours
Displaying 1-50 of 162 results
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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.