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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.

Our range of financial courses means we have something for everyone - whether you are new to the industry or are an advanced practitioner.

We cover a wide range of topics across ten sectors, including Credit Analysis, Bank Analysis, Corporate Finance, Risk Management, Structured Finance, Non-Bank Financial Institutions, and Modeling & Excel.

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...
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...
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...
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...
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....
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...
CISI - Global Financial Compliance
Risk Reward Limited
3 days
1,395 GBP
London
This globally portable qualification will provide participants with a broad understanding of the compliance issues that arise within the financial...
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...
Compliance Basics Programme
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 keep...
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...
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...
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 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...
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 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...
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 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...
Compliance/Risk Officer Level 3 Apprenticeship
BPP Professional Education
1.5 years
Nationwide
By law, all financial services organisations have to meet a wide range of compliance and risk requirements. These areas might...
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...
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 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...
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 Communication for Compliance, Risk and Audit
Corporate Training Partnerships
         
(4)
1 day
595 GBP
London
This highly practical training course enables financial services professionals to recognise and apply written communication techniques that will make reports...
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...
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....
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...
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...
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
Multiple (2)
Money Laundering and Bribery are two key areas for solicitors, requiring compliance with legislative and professional guidelines. Compliance with money...
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...
Trade-Based Money Laundering & Trade Finance Compliance
Infoline
1 day
999 GBP
London
Hear from OFAC, OFSI & the ECO as well as an unrivalled line-up of Trade Finance and Compliance Professionals Sanctions,...
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...
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...
MiFID Compliance and Reporting
Eureka Financial
1 day
920 GBP
London
This one-day course conducted by a City expert provides an overview of the original MiFID transaction reporting, identifies the changes...
Accounting Issues for Corporate Lawyers
BPP Professional Education
6 hours
497 GBP
London
This course will highlight the finance and accounting questions that the transactional lawyer should be thinking about to ensure a...
Preventing Fraud & Reducing Corruption Risk
BPP Professional Education
6 hours
599 GBP
London
This interactive course is presented by an expert in this field who has spent the last ten years working closely...
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 of...
COSO Internal Control Certificate Programme
The Chartered Institute of Management Accountants (CIMA)
17 hours
1,189 GBP
Distance
Through this online course from The Chartered Institute of Management Accountants (CIMA), participants will learn how to effectively design, implement and...
Market Abuse & Insider Dealing
BPP Professional Education
6 hours
615 GBP
London
The new Market Abuse Regulation took effect on 3rd July 2016 introducing a number of changes to the existing civil...
AIFMD - A Practical Guide
BPP Professional Education
6 hours
615 GBP
London
The 2013 Alternative Investment Fund Managers Directive (AIFMD) affects managers of alternative investment funds (AIF - hedge funds, private equity...
FCA Supervision of the Insurance Market - Life After ARROW
Searchlight
0.5 days
London
This course was developed to equip delegates with an improved understanding of the FCA's latest approach to supervision with a...
Regulations & Operational Compliance for Funds
Eureka Financial
1 day
795 GBP
London
This practical one day workshop conducted by a fund management veteran will equip you with the most up-to-date knowledge about...
Ofcom Explained & the Law of Defamation
BPP Professional Education
3 hours
240 GBP
London
OFCOM is the communications regulator, regulating TV, radio, fixed and mobile phones, plus airwaves overview. Defamation is an area which...
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...
  • = 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.