Course description
Financial Sector Regulatory Compliance
Upcoming start dates
Suitability - Who should attend?
Managers and executives from financial sector organisations who wish to strengthen their compliance risk mitigation and want to effect a greater awareness of compliance within their organisation:
- Risk managers
- Decision makers in their organisation
- New compliance officers
- Internal auditors tasked with auditing the compliance function
- Legal department managers
- Treasury staff
Outcome / Qualification etc.
By the end participants will know how to:
- Describe the role of the Chief Compliance Officer in regulatory compliance and risk management
- Review your financial institution’s existing processes and procedures and make recommendations for changes to bring them to international standards
- Establish policies and procedures for conflicts of interest management and application of internal controls
- Improve internal reporting to the Regulator, Board and Senior Management
- Identify, analyse and mitigate compliance risks
Training Course Content
- Introduction to Regulatory Compliance and Compliance Risks
- International and Supranational Standard-Setting Bodies
- Complying with External Regulations
- Internal Compliance
- Global Internal and External Regulatory Compliance
Why choose LCT International
We have trained over 25,000 delegates from almost 500 client organisations
Highly qualified and experienced trainers who offer a unique learning experience tailored to you
Endorsed by various organisational and subject specific accrediting bodies
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LCT International - High value, high impact training programmes delivered globally to teams and individuals For almost 30 years we have delivered tangible improvements to organisations by enabling their leaders, managers and professionals to reach their full potential through transformational...