Financial Sector Regulatory Compliance

London Corporate Training Ltd

Course summary

4 days

2,850 GBP excl. VAT

London

Next available date: 04/11/2019 - London

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London Corporate Training Ltd

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Course description

Financial Sector Regulatory Compliance

Lift Compliance in Your Financial Institution to an International Level.

By the end of the course you should be able to:

Describe to role of the Chief Compliance Officer in regulatory compliance and risk management
Review your financial institution’s existing processes and procedures and make recommendations for changes to bring them to international standards
Establish policies and procedures for conflicts of interest management and application of internal controls
Improve internal reporting to the Regulator, Board and Senior Management
Identify, analyse and mitigate compliance risks

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Suitability - Who should attend?

Managers and executives from financial sector organisations who wish to strengthen their compliance risk mitigation and want to effect a greater awareness of compliance within their organisation:

Risk managers
Decision makers in their organisation
New compliance officers
Internal auditors tasked with auditing the compliance function
Legal department managers
Treasury staff

Training Course Content

Introduction to Regulatory Compliance and Compliance Risks
Role and Influence of International Standard-Setting Bodies, and their Supranational Standards
Complying with External Regulations
Internal Compliance
Working with the Rest of the Internal and External Regulatory Compliance World

Expenses

The cost of this course is £2680 + VAT per participant.

About provider

London Corporate Training - Professional Training Courses

London Corporate Training have been established in the education, consulting and training industries for two decades. They work as a training team from their head office in London and aim to ensure all of their course participants receive the highest...