Certificate in Financial Services Compliance

Introduction

Compliance and culture have never been so important to financial services firms.

As the most regulated sector in the UK economy, demonstrated by the introduction of several recent regulatory initiatives, the risk of non-compliance is significant.

As a result, the strategic focus of firms is to promote a healthy culture, increase the capability of team members and bolster controls.

This cannot be achieved without increasing the capacity of compliance teams, as such compliance is an in-demand career path.

This new virtual classroom seminar is designed to give you the foundations to work in this area and will be split into two distinct training days.

As an introductory course, it applies to:

• Those working in junior compliance roles within FCA regulated firms
• Those looking to start a career in financial services compliance
• Firms operating in England, Scotland, Wales and Northern Ireland

What You Will Learn

This live and interactive course will cover the following:

Day 1:

• Terminology, the basic requirements and history of financial services
• Key influences on regulation
• How the FCA regulates the industry and PRIN
• Key concepts of Governance, Risk and Compliance
• SYSC

Day 2:

• The Consumer Duty and product governance
• Senior Managers and Certification Regime
• Compliance monitoring and reporting
• The FCA Handbook: An overview of key sections

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.