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.

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 Monitoring

Time: 9.30am to 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. This course will go through the steps that should be followed to produce a risk based CMP that will be acceptable to Senior Management, the Board and the regulator.

LEARN MORE/REGISTER

27th September 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. This course will examine what “effective” really means in practice and the methods one can use to produce compliance reports that will result in changes where they are needed.

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

4th October 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

4th October 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.

LEARN MORE/REGISTER

5th October 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

5th October 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.

LEARN MORE/REGISTER

5th October 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.

LEARN MORE/REGISTER

10th October 2018 – Financial Promotions

Time: 9.30am to 12.30pm

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

11th October 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.

LEARN MORE/REGISTER

16th October 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.

LEARN MORE/REGISTER

18th October 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

19th October 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

23rd October 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). This course will assist delegates in understanding those elements that go to make corporate governance an effective tool within your organisation.

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23rd October 2018 – Money Laundering Reporting Officer: Writing the Annual Report to the Board

Time: 1.30pm to 4:30pm

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

Cost: £349 + VAT

Course Overview:

At least once annually the Money Laundering Reporting Officer (MLRO) is required to produce a report to the governing body of the firm. This requirement links with the obligation that the MLRO has as an Approved Person. This course is designed to provide succinct guidance for MLRO in the preparation of the report.

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24th October 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.

LEARN MORE/REGISTER

25th October 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 October 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.

LEARN MORE/REGISTER

26th October 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:

The CF10a, role carries much responsibility for ensuring the relevant firm keeps up with changes in CASS requirements and is ready to react in the case of another custodian’s failure. 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.

LEARN MORE/REGISTER

30th October 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:

This briefing seeks to focus on the key role of the INEDs, what regulators expect of them and will point to the critical on-going relationship between the Board/Executive Body, Senior Management and all in the firm, whether they are from the EU or elsewhere, i.e. “the tone from the top”.

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30th October 2018 – The UK Data Protection Regime: For All Employees

Time: 1.30pm to 4.30pm

Cost: £349 + VAT

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

Course Overview:

From 25th May 2018 the General Data Protection Regulation (GDPR) replaces the UK Data Protection Act 1998. Firms will have been preparing for this for some time, considering how the changes will affect them.. 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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1st November 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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1st November 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 Overview:

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. It is also 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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6th November 2018 – Financial Crime: Politically Exposed Persons and Financial Sanctions

Time: 9.30am to 12.30pm

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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7th November 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:

The ever increasing focus by the Regulators on capital adequacy and the accountability of Senior Management, particularly when things go wrong, emphasises the importance of individuals in senior positions having a clear understanding. 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 November 2018 – Compliance Monitoring

Time: 9.30am to 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. This course will go through the steps that should be followed to produce a risk based CMP that will be acceptable to Senior Management, the Board and the regulator.

LEARN MORE/REGISTER

8th November 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. This course will examine what “effective” really means in practice and the methods one can use to produce compliance reports that will result in changes where they are needed.

LEARN MORE/REGISTER

14th November 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, and includes examples of the areas covered by internal audit, the risk management approach to internal auditing, undertaking a review and what you should expect from the reports provided to you.

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15th November 2018 – Financial Promotions

Time: 9.30am to 12.30pm

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

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.

LEARN MORE/REGISTER

20th November 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.

LEARN MORE/REGISTER

21st November 2018 – Suitability and Appropriateness: Avoiding mis-selling

Time: 9.00am to 4.00pm

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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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.

LEARN MORE/REGISTER

23rd November 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.

LEARN MORE/REGISTER

23rd November 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:

The CF10a, role carries much responsibility for ensuring the relevant firm keeps up with changes in CASS requirements and is ready to react in the case of another custodian’s failure. 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.

LEARN MORE/REGISTER

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.

LEARN MORE/REGISTER

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.

LEARN MORE/REGISTER

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.

LEARN MORE/REGISTER

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.

LEARN MORE/REGISTER

6th 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

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.

LEARN MORE/REGISTER

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.

LEARN MORE/REGISTER

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.

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.

LEARN MORE/REGISTER

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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