Practical Aspects of the Compliance Function
It addresses the roles, responsibilities and mission of the compliance officer, the areas covered by the compliance unit and the tools and methodologies that facilitate the compliance officer’s daily work.
- 5 CPD Units
- 5 Hours
- All Levels
Compliance Function is developing in one of the most important functions for the banks, as well as for the financial and insurance institutions, as demonstrated by several international scandals impacting the reputation of big financial institutions.
This course offers a practical review of the compliance function. It addresses the roles, responsibilities and mission of the compliance officer, the areas covered by the compliance unit and the tools and methodologies that facilitate the compliance officer’s daily work. It provides a sound grounding in the principles of compliance for investment firms and banking institutions. It extensively covers the regulatory provisions for operating a legally compliant firm.
Training Duration
This course may take up to 5 hours to be completed. However, actual study time differs as each learner uses their own training pace.
Participants
This course is ideal for anyone wishing to be introduced to the compliance function, the compliance officer’s roles and responsibilities and the respective regulatory requirements for investment firms and banking institutions. It is also suitable to professionals pursuing regulatory CPD in Financial Regulation.
Training Method
The course is offered fully online using a self-paced approach. The learning units consist of video presentations and reading material. Learners may start, stop and resume their training at any time.
At the end of each session, participants take a Quiz to complete their learning unit and earn a Certificate of Completion once all quizzes have been passed successfully.
Registration and Access
To register to this course, click on the Get this course button to pay online and receive your access instantly. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment.
Access to the course is valid for 180 days.
If you wish to receive an invoice instead of paying online, please Contact us here. Talk to us for our special Corporate Group rates.
This programme has been developed by the European Institute of Management and Finance (EIMF), a globally-recognised training institution.
The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for 5 CPD Units that require CPT training in financial regulation. The course may be also approved for CPD Units by institutions which approve general financial and compliance training, such as the CISI, ICA, and ACAMS.
Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.
What People Say About EIMF
EIMF offered tools, knowledge, and practical experience…no books can accomplish this!
EIMF is a great training provider, pursuing and excelling in the investment services industry
I now see that my behaviour was affecting the actions and dedication of my team…thank you for making me see things that I never thought about before!! Course was amazing!
For us it’s vital to invest in the professional development for our staff. EIMF makes sure our investment is effective, and our people are able to realise their full potential.
Continuing Professional Development is not an option for us, it’s a necessity. EIMF makes it easy for our people to keep current; which is good for our people, and good for us too.
High-quality content and very enjoyable learning experience. At EIMF courses are delivered in a very informative and engaging way and are beneficial for anyone who works within the financial services, accounting and compliance sectors.
We know our most valuable advantage is our people! Our success as an organisation is dependent on fully realising the potential of our people. Working with EIMF means we are able to achieve that in the most efficient and effective way.
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