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.

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”.

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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.

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9th January 2019 – Suitability and Appropriateness: Avoiding mis-selling

Time: 9.30am to 4.30pm

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

Cost: £699 + 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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10th January 2019 – The Market Abuse Regulation

Time: 9:30am to 12:30pm

Cost: £399 + VAT

Location: ACA 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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10th January 2019 – Trade Surveillance Workshop

Time: 1:30pm to 4:30pm

Cost: £399 + VAT

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

Workshop Overview:

This workshop will demonstrate how an asset manager or trader might seek to make gains or to reduce losses, either personally, for a portfolio, or for another, by breaking the rules set down in MAD.

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11th January 2019 – Financial Crime Prevention

Time: 9:30am to 12:30pm

Cost: £399 + VAT

Location: ACA 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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11th January 2019 – Anti-Money Laundering Awareness

Time: 1.30pm to 4.30pm

Cost: £299 + VAT

Location: ACA 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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15th January 2019 – Senior Management Obligations in FCA regulated firms

Time: 9.30am to 11.30am

Cost: £299 + VAT

Location: ACA 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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15th January 2019 – Preparing your firm for the SMCR

Time: 12.30pm to 2.30pm

Cost: £299 + VAT

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

Course Overview:

This concise course gives an overview of the new requirements and explores the issues which firms will need to address and resolve if they are to meet the new regime effectively.

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16th January 2019 – Managing visits by the Regulator

Time: 9:30am to 4:30pm

Cost: £699 + VAT

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

Course Overview: 

This course is specifically designed to assist Senior Management to prepare for the visit and for that worst-case scenario. It includes examples of the offences that could have an impact on your business and individuals, including the potential for personal fines, prohibition or criminal proceedings.

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17th January 2019 – Money Laundering Reporting Officer: The Role and Responsibilities

Time: 9.30am to 4.30pm

Cost: £699 + VAT

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

Course Overview:

This course provides practical advice and guidance on the responsibilities of the MLRO, what is expected by the Regulators, both of the Senior Management and the MLRO, and how those responsibilities can be achieved. It should be noted that attendance at this course does assume a good knowledge of the UK’s AML/CTF regulations.

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18th January 2019 – Financial Services Regulation for HR specialist: including SMCR

Time: 10.00am to 12.00pm

Cost: £299 + VAT

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

Course Overview:

This workshop is specifically designed for human resources specialists to help them understand the regulatory expectations and responsibilities relating to their role.

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18th January 2019 – Individual responsibilities for Certification staff

Time: 1.00pm to 3.00pm

Cost: £299 + VAT

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

Course Overview:

This interactive course is aimed at all staff in Certification roles. It explains how fit and proper status is determined and reviewed under SMCR and the implications of changing roles. It also explains the COCON rules in practical terms and helps participants to understand how the Rules apply to them individually.

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22nd January 2019 – Money Laundering Reporting Officer: Writing the Annual Report to the Board

Time: 9.30am to 12:30pm

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

Cost: £399 + VAT

Course Overview:

This report must include an opinion as to the effectiveness of the anti-money laundering systems and controls, together with other information that the MLRO needs to bring to the attention of the governing body. This course is designed to provide succinct guidance for MLRO in the preparation of the report.

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22nd January 2019 – Writing an effective Compliance report

 

Time: 1:30pm to 4:30pm

Cost: £399 + VAT

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

Course Overview:

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.

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23rd January 2019 – Training and Competence: Achieving Compliance

Time: 9.30am to 12.30pm

Cost: £399 + VAT

Location: ACA 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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24th January 2019 – Compliance Officer: The Role and Responsibilities

Time: 9:30am to 4:30pm

Cost: £699 + VAT

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

Course Overview:

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.

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25th January 2019 – Compliance Induction

Time: 9:30am to 4:30pm

Cost: £699 + VAT

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

Course Overview:

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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29th January 2019 – Client Assets Rules and Practical Application

Time: 9.30am to 12.30pm

Cost: £399 + VAT

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

Course Overview:

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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29th January 2019 – The CF10a: the Role and Responsibilities

Time: 1.30pm to 4.30pm

Cost: £399 + VAT

Location: ACA 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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30th January 2019 – AML Master Class: Understanding and managing the risk

Time: 9.30am to 4.30pm

Cost: £699 + VAT

Location: ACA 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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