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