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.

We offer 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 our London office. 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 our full range of courses.

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

20th November 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), and includes examples of the offences that could have an impact on Senior Management.

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22nd November 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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27th November 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:

This succinct course is designed to assist Senior Management to have a full understanding of what they need to do to achieve compliance with two specific parts of the Rules.

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29th November 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.

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30th November 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

4th December 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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5th December 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), and includes examples of the offences that could have an impact on Senior Management.

LEARN MORE/REGISTER

5th December 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:

Under Regulation 24 of the Money Laundering Regulations 2017 (MLR) Senior Management must ensure that immediately on joining the firm employees at all levels of seniority receive training in AML. This course is specifically designed to assist Senior Management in meeting these obligations.

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7th December 2018 - Market Abuse: Trade Surveillance Workshop

Time: 9:30am to 12:30pm

Cost: £349 + VAT

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

Workshop Overview:

The workshop will look at each of the areas covered in MAD and put them in to real life situations, including the use of jargon used in front offices and how they are used.

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11th December 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:

This succinct course is designed to assist Senior Management to have a full understanding of what they need to do to achieve compliance with two specific parts of the Rules.

LEARN MORE/REGISTER

11th December 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 needing to become familiar with the new regulatory requirements. This concise course gives an overview of the new regimes and explores the issues which firms will need to address and resolve if they are to meet the new standards effectively.

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11th December 2018 – The FCA Code of Conduct Rules: Understanding and Complying with COCON

Time: 3.00pm to 5.00pm

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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12th December 2018 – AML Master Class: Understanding and managing the risk

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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13th December 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

 

14th December 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

19th December 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:

Traditionally, the training of an organisation’s people has fallen to the Human Resources team creating a need for cross-functional cooperation between HR and Compliance. 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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20th December 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

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