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TRAINING  >  COMPLIANCE STAFF

Compliance for New Joiners, Movers, and Returners

The very nature of compliance is becoming more complex, it covers increasingly broad areas, and carries ever greater penalties for getting it wrong. As a result there are a range of job roles in larger compliance functions ranging from designing processes, to drafting policies and procedures, to advising on specific deals, to reviewing files.

 

This can make it more challenging to switch from one role to another, particularly if you want to move from say, financial crime compliance to advisory or monitoring. For those returning to work after time out it can be even more daunting, having to catch up on all that has changed as well as learn new specialisms.

Our training courses will help you get the most out of your career as a compliance professional.

Suggested Course Content

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The UK Regulatory Regime

This course is for those who have limited existing knowledge about the UK regulatory regime.

60 minutes

  • Background to statutory regulation in the UK 

  • How regulation is made

  • Different types of regulation

  • The what, where and how of FSMA

  • Navigating the FCA Handbook and PRA Rulebook

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The regulatory lifecycle

This course works through the regulatory lifecycle from the perspective of both the regulated firm and the regulator

90 minutes

  • Authorisations

  • Supervision

  • Enforcement

  • How the lifecycle differs for individuals

Regulatory Cornerstones 

This course works through the cornerstones of UK regulation, why these are cornerstones and the key features of each regime

60 minutes

  • Fundamental Rules \ Principles for Businesses 

  • CASS and Financial Crime

  • Market Conduct

  • Selling Products: Financial Promotions

  • Individual Accountability

Regulatory Changes

This course brings you up to date with an introduction to key regulatory changes over the past ten years.

90 minutes

  • Disclosure 

  • Product governance and bans

  • Major pieces of European legislation

  • Major scandals

  • Individual accountability and conduct

  • Changes to regulatory approach

Brexit

This course covers the fundamentals of Brexit as it relates to the financial services sector and is for those who are new to Compliance or who need a quick recap on where we are.

60 minutes

  • What it means for financial services 

  • Regulatory approach

  • Third country firms and the Temporary Permissions Regime

  • Where we are today

  • What to expect

Structure of Compliance

This course covers the structure of larger compliance departments, and the different job roles that exist within them. It is suitable for those who are new to Compliance, returning after a break or are looking to move roles and need an idea of what other job roles do in order to succeed at interview.

2 hours

  • Advisory

  • Monitoring

  • Surveillance

  • Regulatory Affairs

  • Regulatory Change

  • Financial Crime

  • Central Compliance

Looking for something specific?

Let us know and we can discuss tailoring a course just for you.

©2021 by Leaman Crellin Limited

Leaman Crellin Limited is a company registered in England and Wales. Company Number 11719050. VAT Registration GB312074350. Company Registered Address 17 West Grove, Surrey KT12 5PF