► 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. 

► KEY TOPICS

• 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. 

► TAILOR YOUR TRAINING:

Speak to us today to learn how our specialist and bespoke training solutions can help you better understand the regulatory framework and apply compliance. Click here to download our menu of available training courses and options available.

► OUR SERVICES INCLUDES:

We have a wide range of solutions designed to help you navigate the changing risk and regulatory landscape:

• compliance advisory 
• technology
• managed services

Complete this form or call +44 (0) 20 7042 0500 to connect with us.