Effective Compliance
| Duration | 1 Day |
| Level | Introductory |
| Suitable for | This course is designed for newly-appointed compliance officers/ assistants but would also be useful for firms wishing to provide those in the organisation who do not work in the compliance arena with an understanding of the essential role compliance plays, and so engendering a positive compliance culture. |
| CPD hours | 6 hours |
| Cost |
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| Dates |
Course Content
- What is compliance?
- Regulation of industry sectors
- Compliance benefits and responsibility
- The compliance function
- The role of the compliance officer
- Compliance tasks and issues
- Barriers to effective compliance
Learning Outcomes
Having attended this course, delegates will:
- Have an overview of primary and secondary compliance tasks that will guide them into dealing with key compliance issues and looking in a practical way at the role of the compliance officer
- Be encouraged to think of the various internal and external stakeholders and how to enhance those relationships
- Be able to manage the barriers to effective compliance