This full day course is designed for people who have been, or are about to be, appointed as a Compliance Officer and/or have Compliance Oversight responsibility.  Individuals in these positions must be able to demonstrate to the regulator that an appropriate level of competence has been achieved and maintained. Attending this course will assist individuals in these positions in demonstrating competence.

Failure to comply with FSA Rules could result in the FSA taking action against the firm and it’s Senior Managers. This course will look at instances where this has happened and the role that compliance has played.

The Compliance Officer therefore plays a key role in assisting Senior Management in managing the regulatory compliance risks to the business and the FSA will expect Compliance Officers to be carrying out their responsibilities professionally and effectively, with appropriate support form Senior Management.

In most firms, the nature of compliance work will have changed significantly since the early days when compliance was viewed as a hindrance to doing business. This course will:

• Explore ways in which the Compliance Office can meet the challenges that must be met;
• Assist the in understand and meeting expectations; and
• Develop the type of compliance culture the regulator and Senior Management should expect to see.