Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR
Cost: £649 + VAT
The role of the Compliance Officer (CO) is a mandatory position in all firms in the Financial Services Industry. The CO plays a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a CO and explains, in practical terms how the regulatory expectations and those of Senior management can be achieved.
Attendance on this course will enable you to:
Course aimed at: Anyone currently or considering becoming a Compliance Officer.
Maximum numbers: 12
This course can also be delivered as an onsite course or as an instructor lead course at a firm’s office.