ACA Global

Virtual Training

Compliance Officer: The Roles and Responsibilities

Cost: £815 + VAT

Date: Various | Time: 9:30am - 4:30pm GMT

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► Course Objectives

Attendance on this course will enable you to: 

  • A sound knowledge of what is expected of a Compliance Officer and why; 
  • Practical ways to meet the expectations; 
  • An understanding of the importance of the Compliance Monitoring Plan; and 
  • An opportunity to benchmark your knowledge and current compliance arrangements. 


  • Responsibilities of Senior Management for Compliance 
  • The Compliance Officer’s principal tasks & skill sets 
  • Getting the basics right 
  • The independence of the role 
  • Understanding and meeting expectations 
  • Embedding the compliance culture 
  • The Compliance Monitoring Programme (CMP)
  • Compliance Monitoring Methodology 
  • Think about opportunities for adding value 
  • Managing visits from the Regulator(s) 
  • Examples of what can go wrong: messages for the Compliance Officer

Course aimed at: Anyone currently or considering becoming a Compliance Officer. 



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