The Compliance Officer Refresher
This half-day workshop is intended to give Compliance Officers, and others holding compliance responsibilities within their firm, an opportunity to refresh their knowledge of key compliance topics. CCL's The Compliance Officer Refresher course is particularly suitable for those holding the Compliance Oversight function within their firm but will also be of benefit to anyone wishing to update or refresh their compliance knowledge. At the end of the workshop, participants will:
- Have updated their knowledge of the principal obligations of the compliance function within an authorised firm
- Know the FCA’s current priorities and have considered their potential impact on firms
- Understand the significance of compliance risk assessment, and its impact on compliance monitoring
- Have an awareness of upcoming regulatory developments, including the SM&CR
Suitability - Who should attend?
This course is suitable for:
- Compliance Officers
- Senior Management and Directors
- Other staff with compliance oversight responsibilities
Outcome / Qualification etc.
Delegates who successfully complete the course will be awarded a training certificate.
Training Course Content
Topics covered include:
- The regulator’s expectations for compliance
- FCA priorities – what are the regulator’s concerns about your business?
- The evolving nature of compliance risk
- Challenges of compliance monitoring
- The impact of the SM&CR
- Major regulatory developments – what’s on the horizon?
The cost of this course is £499 + VAT per delegate.
Companies who need to train larger groups of delegates may find it more economical to have their training delivered in-house. CCL's trainers are equipped with all of the materials and equipment necessary to make this possible, and can customise the courses to meet the precise needs of your organisation.
CCL also make their facilities available for off-site training.
CCL Academy - Governance, Risk & Compliance Training for the Financial Services Industry
CCL Academy is a specialist GRC training company and have been training financial services firms on their regulatory compliance obligations for 30 years. Our extensive team of highly experienced Compliance and Financial Crime Compliance (FCC) professionals have decades of experience...
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