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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

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

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...


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Contact info

London Corporate Training Ltd

London Corporate Training
3 Shortlands, Hammersmith
W6 8DA London

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www.lct.co.uk

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