1
Type
Speaker
CPD Hours Level
Seminar 12 IntermediateInformation
Accreditation Information
SRA Competency D

Introduction

This new 2 day course is aimed at those who are seeking to become authorised by the FCA for senior compliance roles.

The course will prepare you for your senior compliance responsibilities so that you feel confident in your scope of knowledge, skills and behaviours to perform your roles at a competent level.

The course will also inform you on how to maintain and enhance your competence over the longer term, subsequently applying the learning in your work place for client and business benefit and will include examples of strong and weak compliance oversight within FCA authorised firms.

What You Will Learn

The course will cover the following:

  • Familiarisation with the senior compliance role and application of the FCA’s expectations for the good governance and positive culture of the business
  • Familiarisation with key, relevant FCA rules via its handbooks and sourcebooks, guidance and future initiatives
  • Learn and apply knowledge of the relevant areas of compliance to your own business and client needs
  • Learn how to design and implement a robust compliance framework that will benefit your business and feed relevant, qualitative information to the senior management
  • Learn how to remain up to date with FCA requirements

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Seminar | 21.01.2020

Manchester | 9:30am - 5:15pm


The Fundamentals of the Senior Compliance Role - For FCA Authorised Firms

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Jan
21-22
2020
Manchester
9:30am - 5:15pm
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Seminar | 26.02.2020

Birmingham | 9:30am - 5:15pm


The Fundamentals of the Senior Compliance Role - For FCA Authorised Firms

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Feb
26-27
2020
Birmingham
9:30am - 5:15pm
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Seminar | 09.03.2020

Glasgow | 9:30am - 5:15pm


The Fundamentals of the Senior Compliance Role - For FCA Authorised Firms

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Mar
9-10
2020
Glasgow
9:30am - 5:15pm
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Seminar | 01.04.2020

London | 9:30am - 5:15pm


The Fundamentals of the Senior Compliance Role - For FCA Authorised Firms

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Apr
1-2
2020
London
9:30am - 5:15pm
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Seminar | 07.04.2020

Leeds | 9:30am - 5:15pm


The Fundamentals of the Senior Compliance Role - For FCA Authorised Firms

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Apr
7-8
2020
Leeds
9:30am - 5:15pm
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Prices (ex VAT)
Smart
Plan Information
£432
Season
Ticket Information
£480
Standard
£960
Group bookings
Discounts are available for multiple places and if you have 5 or more people interested in this course and would like to discuss holding it in your area or on an in-house basis then please email us at information@mblseminars.com
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