Compliance Training

Training is an essential part of every organization’s efforts to build an effective compliance culture. Regulators explicitly require training, and seek evidence of training as part of their regular reviews. In addition, organizations often require specialist training as they move into new businesses or change the way they are operating in existing ones.

Cordium offers two types of compliance training:

  • In-house Training – This training is conducted at your office or chosen location at a time or date convenient for you. Courses can be tailored to meet your learning objectives and the content developed to meet your specific requirements.
    Contact us to learn more about our tailored training courses, which can take place at our London office or at a location of your choice.
  • Open Public Training – These courses are scheduled throughout the year to take place at Cordium’s offices. This great networking opportunity enables individuals to connect with those from other firms and it allows firms to book individuals on courses whenever the need arises. Click here to view all our full range of courses.

Note: Cordium provides discounted rates for multiple bookings of all training course types. If you have any questions or comments, please contact us.

26th July 2018 – Anti-Money Laundering Risk Assessment and Customer Due Diligence

 

Time: 9.30am to 4.30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UJ

Course Overview:

This course delivers practical guidance on how to implement an AML strategy rooted in a realistic understanding of the risks of exposure to criminal proceeds and terrorism financing.

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26th July 2018 – The UK Data Protection Regime: For All Employees

Time: 9.30am to 12.30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UJ

Course Overview:

The objective of this course is to “square the circle” by explaining to employees at all levels the practical impact on them, their employer and the potential for higher penalties under the GDPR for failure to comply.

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27th July 2018 – Money Laundering Reporting Officer: The Role and Responsibilities

Time: 9.30am to 4.30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

The role of the Money Laundering Reporting Officer  (MLRO)  is a mandatory position in all firms in the Financial Services Industry. This reflects the statutory objective that the Regulator have for ensuring that firms behave with “Integrity”, particularly relating to financial crime prevention.

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31st July 2018 – Compliance Monitoring

Time: 9.30am – 12.30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

Senior Management Arrangements, Systems and Controls in the regulator’s handbook sets out responsibility that a Compliance Officer has is to monitor, and on a regular basis, assess the adequacy and effectiveness of the measures and procedures put in place by Senior Management to ensure compliance with the relevant rules and regulations.

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31st July 2018 – Writing an effective Compliance report

Time: 1:30pm to 4:30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

One of the main responsibilities of the Compliance Officer is to provide management with an assessment of the firm’s systems and controls that have been put in place to achieve compliance with the applicable rules.

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1st August 2018 – Money Laundering Reporting Officer: Writing the Annual Report to the Board

Time: 9.30am to 12.30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

The role of the Money Laundering Reporting Officer (MLRO) is a mandatory position in all firms in the Financial Services Industry. This reflects the statutory objective that the Regulator have for ensuring that firms behave with “Integrity”, particularly relating to financial crime prevention.

LEARN MORE/REGISTER

2nd August 2018 – Senior Management Obligations in FCA regulated firms

Time: 9.30am to 11.30am

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

The ever increasing focus by the Regulators on the accountability of Senior Management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them.

LEARN MORE/REGISTER

2nd August 2018 – The Senior Managers and Certification Regime

Time: 12.30pm to 2.30pm

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UJ

Course Overview:

The extension to the scope of the Senior Managers and Certification Regime beyond banking to all firms will result in many firms, not already in scope, needing to become familiar with the new regulatory requirements. Firms will need to establish for example, if they are a “limited scope”, “core” or “enhanced” firm.

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7th August 2018 – The Role of Independent Non-Executive Directors

Time: 9.30am to 12.30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

The session will further attempt to provide an update on UK regulators’ latest guidance and policy statements and their impact on INEDs in addition to the obligations on all Directors under the UK Companies Act and Conduct Codes.

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7th August 2018 – Financial Crime: Politically Exposed Persons and Financial Sanctions

Time: 1.30pm to 4.30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This succinct 3 hour course provides advice and guidance on compliance with the Statutory and Regulatory requirements relating to Politically Exposed Persons and Financial Sanctions.

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8th August 2018 – Managing Capital Adequacy Risk

Time: 9:30am to 11:30am

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

There is ever increasing focus by the Regulators on capital adequacy and the accountability of Senior Management, particularly when things go wrong. This course is designed to assist Senior Management to embed a compliance ethos in the individual and a strong compliance culture throughout the firm.

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8th August 2018 – Financial Promotions

Time: 1.30pm to 4.30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Objectives:

The Regulator’s objectives include ensuring that firms operate in their client’s/customer’s best interest, including treating them fairly and communication with their clients in a clear, fair and not misleading way.

This course is designed to explain, in a clear and practical way, what the rules are and what needs to be done to achieve and maintain compliance with them.

LEARN MORE/REGISTER

9th August 2018 – Financial Crime Prevention

Time: 9:30am to 12:30pm

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This course is specifically designed to assist Senior Management in meeting their obligations under Regulation 24 of the Money Laundering Regulations 2017 (MLR).

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9th August 2018 – Anti-Money Laundering Awareness

Time: 1.30pm to 3.30pm

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This course is specifically designed to assist Senior Management in meeting these obligations. Any failure to meet these obligations is a breach of the MLR and of the FCA/PRA Rules in “Senior Management Arrangements, Systems and Control (SYSC).

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13th August 2018 – Training and Competence: Achieving Compliance

Time: 9.30am to 12.30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UJ

Course Overview:

This course is designed to help staff from both functions understand the regulatory foundations behind not only the learning framework, but also the ongoing supervision model.

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14th August 2018 – Client Assets Rules and Practical Application

Time: 9.30am to 12.30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UJ

Course Overview:

The FCA continues to be concerned about the ability of firms’ to demonstrate they have sufficient resources, expertise and procedures in place to avoid client money/custody disasters and meet the requirements of the CASS Rules. Management and Compliance are expected to ensure they keep up to date with changes in the CASS requirements and are ready to react in case of need – this obliges ALL relevant personnel to understand the contents of the CASS rulebook.

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14th August 2018 – The CF10a: the Role and Responsibilities

Time: 1.30pm to 4.30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UJ

Course Overview:

This course emphasises the requirements and responsibilities the CF10A role has to carry as a matter of routine to meet regulatory and client expectations in the event of a disaster.

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15th August 2018 – The FCA Code of Conduct Rules: Understanding and Complying with COCON

Time: 9.30am to 11.30am

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

From 7 March 2017, the obligation to comply with the Code of Conduct rules will be expanded to include almost all staff involved in any form of regulated activity in organisations within the scope of the Senior Managers and Certification Regime (“SMCR”).

This course is aimed at explaining the COCON rules in practical terms and clarifying what is expected of organisations and individuals.

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16th August 2018 – The Role and Practice of Internal Audit

Time: 9.30am to 4.30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UJ

Course Overview:

This course is specifically designed to assist Senior Management to understand the role of their internal audit function and to assist them in attaining an internal audit function upon which they can rely.

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17th August 2018 – Compliance Induction

Time: 9:30am to 4:30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

Senior management in Financial Services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the Regulatory environment they are working in. This knowledge helps in emphasising the need for compliance with policies and procedures in order to protect the firm and the individual from failing to “do the right thing”.

LEARN MORE/REGISTER

21st August 2018 – Senior Management Obligations in FCA regulated firms

Time: 9.30am to 11.30am

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

The ever increasing focus by the Regulators on the accountability of Senior Management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them.

LEARN MORE/REGISTER

23rd August 2018 – Money Laundering Reporting Officer: The Role and Responsibilities

Time: 9.30am to 4.30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

The role of the Money Laundering Reporting Officer (MLRO) is a mandatory position in all firms in the Financial Services Industry. This reflects the statutory objective that the Regulator have for ensuring that firms behave with “Integrity”, particularly relating to financial crime prevention.

LEARN MORE/REGISTER

24th August 2018 – Suitability and Appropriateness: Avoiding mis-selling

Time: 9.30am to 5.30pm

Location: Cordium UK offices, 130 Jermyn Street, London SW1Y 4UR

Cost: £649 + VAT

Course Overview:

This is a very interactive one-day course, designed to provide practical guidance to individuals involved in selling investment products to consumers.

The course will emphasise the responsibilities on senior management and will identify systems and controls that need to be in place to attempt to mitigate this significant compliance risk.

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28th August 2018 – Market Abuse Regulation

Time: 9:30am to 12:30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This course will provide you with an understanding of what the MAR means to your firm and your employees. The course focuses on the rules and the practical application of systems and controls to identify and reduce the risk of market abuse.

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29th August 2018 – Fraud Prevention: The Often ‘Forgotten Risk’

Time: 1:30pm – 4.30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UJ

Course Background:

The course is aimed at assisting firms to fully understand the fraud risk, the practicalities involved in mitigating this risk and providing advice on what to do if it happens.

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29th August 2018 – The UK Data Protection Regime: For All Employees

 

Time: 9.30am to 12.30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UJ

Course Overview:

The objective of this course is to “square the circle” by explaining to employees at all levels the practical impact on them, their employer and the potential for higher penalties under the GDPR for failure to comply.

LEARN MORE/REGISTER

30th August 2018 – Compliance Officer: The Role and Responsibilities

Time: 9:30am to 4:30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

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.

LEARN MORE/REGISTER

31st August 2018 – Anti-Money Laundering Risk Assessment and Customer Due Diligence

Time: 9.30am to 4.30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UJ

Course Overview:

This course delivers practical guidance on how to implement an AML strategy rooted in a realistic understanding of the risks of exposure to criminal proceeds and terrorism financing.

LEARN MORE/REGISTER

5th September 2018 – Financial Crime Prevention

Time: 9:30am to 12:30pm

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This course is specifically designed to assist Senior Management in meeting their obligations under Regulation 24 of the Money Laundering Regulations 2017 (MLR).

LEARN MORE/REGISTER

5th September 2018 – Anti-Money Laundering Awareness

Time: 1.30pm to 3.30pm

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This course is specifically designed to assist Senior Management in meeting these obligations. Any failure to meet these obligations is a breach of the MLR and of the FCA/PRA Rules in “Senior Management Arrangements, Systems and Control (SYSC).

LEARN MORE/REGISTER

11th September 2018 – Managing the FCA visit and Avoiding Escalation

Time: 9:30am to 4:30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview: 

The FCA has tremendous, draconian powers that can do untold damage to your business. So how do you combat this when things go wrong?

We hope this never happens but when it does how prepared are you? This course is specifically designed to assist Senior Management to prepare for the visit and for that worst case scenario.

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12th September 2018 – Corporate Governance in Financial Services Firms

Time: 9.30am – 12.30pm   

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

A robust and well defined governance structure underpins all effective governance frameworks and is key to compliance with the FCA’s requirements in its Systems and Controls handbook (SYSC).

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12th September 2018 – Identifying and Managing Conflicts of Interest

Time: 1:30pm to 4:30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

The FCA expects firms to take appropriate and effective steps to avoid conflicts of interest or, at least, manage them properly.

The obligation on Senior Management is to implement and maintain appropriate systems and controls to identify and manage the risks to the firm and the employees of a conflict occurring.

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13th September 2018 – Financial Promotions

Time: 1.30pm to 4.30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Objectives:

The Regulator’s objectives include ensuring that firms operate in their client’s/customer’s best interest, including treating them fairly and communication with their clients in a clear, fair and not misleading way.

This course is designed to explain, in a clear and practical way, what the rules are and what needs to be done to achieve and maintain compliance with them.

LEARN MORE/REGISTER

14th September 2018 – The FCA Code of Conduct Rules: Understanding and Complying with COCON

Time: 9.30am to 11.30am

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

From 7 March 2017, the obligation to comply with the Code of Conduct rules will be expanded to include almost all staff involved in any form of regulated activity in organisations within the scope of the Senior Managers and Certification Regime (“SMCR”).

This course is aimed at explaining the COCON rules in practical terms and clarifying what is expected of organisations and individuals.

LEARN MORE/REGISTER

18th September 2018 – Senior Management Obligations in FCA regulated firms

Time: 9.30am to 11.30am

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

The ever increasing focus by the Regulators on the accountability of Senior Management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them.

LEARN MORE/REGISTER

18th September 2018 – The Senior Managers and Certification Regime

Time: 12.30pm to 2.30pm

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UJ

Course Overview:

The extension to the scope of the Senior Managers and Certification Regime beyond banking to all firms will result in many firms, not already in scope, needing to become familiar with the new regulatory requirements. Firms will need to establish for example, if they are a “limited scope”, “core” or “enhanced” firm.

LEARN MORE/REGISTER

20th September 2018 – Compliance Officer: The Role and Responsibilities

Time: 9:30am to 4:30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

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.

LEARN MORE/REGISTER

26th September 2018 – Money Laundering Reporting Officer: The Role and Responsibilities

Time: 9.30am to 4.30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

The role of the Money Laundering Reporting Officer (MLRO) is a mandatory position in all firms in the Financial Services Industry. This reflects the statutory objective that the Regulator have for ensuring that firms behave with “Integrity”, particularly relating to financial crime prevention.

LEARN MORE/REGISTER

27th September 2018 – Compliance Officer: The Role and Responsibilities

Time: 9:30am to 4:30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

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.

LEARN MORE/REGISTER

28th September 2018 – Compliance Induction

Time: 9:30am to 4:30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

Senior management in Financial Services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the Regulatory environment they are working in. This knowledge helps in emphasising the need for compliance with policies and procedures in order to protect the firm and the individual from failing to “do the right thing”.

LEARN MORE/REGISTER

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