COURSE OVERVIEW

This course is designed to provide a basic understanding of the roles and responsibilities of compliance personnel within the financial services industry.  Gain an understanding of the regulatory framework in this sector, the purpose of these regulations, the role of the various players in this field and how to apply the requirements for financial services as part of your company policies.

 

WHO IS THIS FOR?

This course is designed for compliance officers and MLROs within the financial services industry to give them a base understanding of the regulations pertaining to this sector and the roles and responsibilities of the compliance team and the external players.

Course Type On demand e-learning
Duration 1-3 hours
Location Online VLE
Assessment Online - quiz format
Certification Certificate of Attendance & Competency
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Description

COURSE OVERVIEW

This course is designed to provide a basic understanding of the roles and responsibilities of compliance personnel within the financial services industry.  Gain an understanding of the regulatory framework in this sector, the purpose of these regulations, the role of the various players in this field and how to apply the requirements for financial services as part of your company policies.

 

WHO IS THIS FOR?

This course is designed for compliance officers and MLROs within the financial services industry to give them a base understanding of the regulations pertaining to this sector and the roles and responsibilities of the compliance team and the external players.