top of page

Structure of Compliance

Price £

315

+VAT

Duration

Half day (3 hours)

We can run this course inhouse or privately just for you and your colleagues.

 

Please submit a training request to check availability and prices.

About the Course

Discover the different roles in Compliance and why they're necessary. Understand the structure of larger Compliance departments, the different job roles within them, and why those specialisms are needed.

This course provides an overview of the different roles in Compliance and why they are necessary in a modern compliance function.

It helps explain the structure of larger compliance departments and the different job roles that exist within them. Thus enabling participants understand the different Compliance specialisms and their responsibilities.

Learning Outcomes

By the end of this course, participants will be able to: 

  • Explain the different roles in Compliance, including Advisory, Monitoring, Surveillance, Regulatory Affairs, Regulatory Change, Financial Crime, and Central Compliance. 

  • Understand the responsibilities and duties of each Compliance specialism. 

  • Identify the structure of larger compliance departments and the different job roles that exist within them. 

  • Recognize the importance of Compliance and how it fits into the broader business context.

Course Outline

Compliance is a critical function in any business, ensuring that the company operates within legal and regulatory boundaries, mitigating risk, and safeguarding its reputation. This training course will provide an overview of the different roles in Compliance and why they are necessary in a modern compliance function. 


The course will begin by exploring the various Compliance specialisms, including Advisory, Monitoring, Surveillance, Regulatory Affairs, Regulatory Change, Financial Crime, and Central Compliance. Participants will learn about the responsibilities and duties of each role, why those roles are now specialisms, and how the roles interact with each other. 


The course will then delve into the structure of larger compliance departments, explaining the different job roles that exist within them, and the relationships between the various teams. Participants will gain a comprehensive understanding of the different roles and responsibilities within compliance departments. 


This course is ideal for new Compliance professionals or those considering a move to the field. 


By the end of the course, participants will have a better understanding of the different Compliance specialisms, their responsibilities, and how they fit into the broader business context.

Required Knowledge and Skills

The course is suitable for anyone in a firm that is regulated by the PRA or FCA. This course can be adapted so that it specifically addresses individuals working in specific roles such as risk and compliance, front, back, and middle office personnel, board members, and senior managers.

About Your Trainer

Daiman Baker

Daiman Baker

Daiman has 20 years of experience in London-based investment banks in front office compliance advisory roles and in delivering regulatory change across multiple EU and UK pieces of legislation.

Leveraging his background as a lawyer, Daiman delivers design, implementation, remediation projects, business governance / management structures, SME / regulatory interpretation input, policy and procedure drafting and training.

At Leaman Crellin Daiman focuses on regulatory consulting and training to firms, both TradFi and those operating in the Web3 space.

bottom of page