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The Role of the Compliance Officer

Course summary
0.5 days
195 GBP excl. VAT
Next available date: Enquire for more information - London
Open / Scheduled

The Role of the Compliance Officer

The Role of the Compliance Officer

With regulatory emphasis now being placed firmly on application of principles-based, rather than ‘tick-box’ compliance, the compliance officer’s role has become far more consultative in nature. A purely directive approach to compliance is no longer fit for purpose (if it ever was) and this development continues to cause discomfort to many who are accountable for governing firm’s effectively and those responsible for reassuring them that regulatory requirements are being fulfilled in the business’s day-today operation. Increasingly, the role of the compliance officer is as much about being an agent of cultural change as it being a guardian of ‘The Rules’.

This half day interactive workshop examines the vital role the Compliance Officer must play in an environment where principles-based regulation prevails and where it is essential to strike the proper balance between prescriptive and advice-led compliance.

The course is intended for those wishing to gain a better understanding of the role played by Compliance Officers in achieving collaborative compliance and how this may enhance, or improve, the performance of a business through the greater empowerment of operational management.

Suitability - Who should attend?

  • Executive and non-executive directors
  • Company Secretarial staff
  • Compliance officers / staff
  • Operational managers
  • Risk managers

Outcome / Qualification etc.

Attendance of this course awards up to 3 CPD hours where considered relevant to your professional development needs.

Training Course Content

  • principles based regulation – what does this mean?
  • the function and responsibilities of a compliance officer
  • developing a risk-based compliance programme
  • engaging and working in collaboration with the business
  • monitoring and reporting compliance – who, when and how?
  • management information – the benefits of KISS and RAG
  • managing the relationship between compliance and risk
  • record keeping
  • interaction with FCA – what to expect
  • reporting to the FCA
  • pitfalls and how to avoid them – some examples from recent history


London price is 195 GBP.

Regional price is 195 GBP.

Provider: Searchlight

Searchlight - Training Courses for the Business Insurance Industry

Searchlight - Leading UK Training & Consultancy Company for Insurance and Financial Services Professionals

Searchlight is the UK's foremost provider of training for the insurance and financial services industry, covering the full range of technical, regulatory and soft skills needed by professionals operating in this dynamic business environment. Searchlight was the first organisation to receive...

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18, The Courtyard, Common Lane, Culcheth
WA3 4HA Cheshire

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