Financial Sector Regulatory Compliance
Course
In London
Lift compliance in your financial institution to an international level!
-
Type
Course
-
Location
London
-
Start date
November
other dates
Lift compliance in your financial institution to an international level with this Financial Sector Regulatory Compliance Course, organized by London Corporate Training.
The course will give participants the necessary tools to be able to describe to role of the Chief Compliance Officer in regulatory compliance and risk management.
Also, to review the financial institution’s existing processes and make recommendations for changes to bring them to international standards.
They will also be capable of establishing policies and procedures for conflicts of interest management and application of internal controls, and identifying, analysing and mitigating compliance risks.
If you want to join this programme, ask for further information through emagister.co.uk.
Facilities
Location
Start date
Start date
About this course
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
Reviews
This centre's achievements
All courses are up to date
The average rating is higher than 3.7
More than 50 reviews in the last 12 months
This centre has featured on Emagister for 15 years
Subjects
- Risk
- Compliance
- Risk Management
- International
- Financial
- IT risk
- Financial Training
- Regulatory Compliance
- Financial Institution
- Finance
Course programme
Introduction to Regulatory Compliance and Compliance Risks
- Short quiz exploring participant’s existing knowledge
- Compliance as a concept – a vision of the essential part compliance plays in the financial services industry
- Characteristics of good and bad regulatory compliance regimes
Role and Influence of International Standard-Setting Bodies, and their Supranational Standards
- FATF (Financial Action Task Force)
- BIS (Bank for International Settlements)
- Financial Stability Board
- British Standard 8453 – Compliance Framework for Regulated Financial Service Firms • Central Banks / Regulators
Complying with External Regulations
- Typical regulatory compliance requirements of a financial institution
- Compliance risks; what are they and how can you mitigate them
- Structure and activities of the compliance function to achieve regulatory requirements
Internal Compliance
- The Chief Compliance officer – responsibilities, and attributes
- Mapping your compliance universe
- Developing a compliance culture in your organisation
Working with the Rest of the Internal and External Regulatory Compliance World
- Compliance, Internal Audit and Risk Management Functions – compared, contrasted and cooperation
- Operating entities
- Working and communicating with the regulator
- Reporting to the Board and Senior Management
Financial Sector Regulatory Compliance