4055 Compliance courses delivered On Demand

Here’s your starting point to a rewarding and successful career in compliance! Learn the ins and outs of compliance for the financial services industry with LGCA and become a certified professional member of the fastest growing GRC association out there.

Here’s your starting point to a rewarding and successful career in compliance! Learn the ins and outs of compliance for the financial services industry with LGCA and become a certified professional member of the fastest growing GRC association out there. Every organization faces a myriad of risks that can threaten its operations, reputation, and bottom line. A robust, effective compliance program can make the difference between companies that successfully navigate those risks, and those that become cautionary tales. Faced with increasingly regulated environment, this programme offers insight into good compliance practices and the skills to lead effective compliance programmes that supports ethical conduct and commitment to compliance. -------------------------------------------------------------------------------- Study method Online, self-paced Duration 25 hours Access to content 360 days Certification Certificate in Compliance Additional info Exam(s) / assessment(s) is included in price -------------------------------------------------------------------------------- DESCRIPTION This certificate programme will introduce the essential elements of effective organizational compliance by exploring the concepts, considerations, and strategies for assessing risks and managing the compliance function. You will learn the fundamental principles of effective compliance, the components of an effective compliance program and their applications. In addition, you will explore the foundational principles of compliance: what are the sources of compliance requirements; where are the requirements found; what behavior satisfies “compliance;” and how do compliance personnel motivate compliant behavior throughout their organization. Expected Learning Outcomes By acquiring the Certificate, participants are expected to be able to: • Comprehend and maintain awareness of compliance requirements • Organise and monitor the operation of compliance management system • Implement processes for the management of breaches in compliance requirements • Provide education and training on compliance requirements and systems • Promote and liaise on compliance requirements, systems and related issues • Promote compliance with a sound understanding of the requisite legislation • Show leadership in the workplace • Identify risk and apply risk management processes • Manage projects • Undertake compliance audits Certificate Content Compliance • Compliance Programs • Compliance Perspectives • Why do we Need Compliance? International Regulatory Landscape • Key Elements • Principle based Vs Rules Based Approach • Market Forces • Regulation and Practice Compliance in Practice • The role of the Compliance department • The role of the Compliance Officer • The role of the Board • Key compliance activities and processes • Key compliance relationships Ethics, Compliance and Governance Perspectives • Ethics • Compliance • Governance Other Key Compliance Areas • Anti-money laundering • Financial crime prevention • Managing risk • Enforcement Certificate Format • Register at any time for this online, open certificate • Study in your own time and at your own pace (you have up to 3 months to complete the certificate) • Assessed by online multiple-choice exam Exam Format • Type: Multiple choice, closed book online exam • Duration: Two hours • Pass mark: 70% • Number of questions: 100 What is included • 25 hours of self-paced online interactive learning including analysis of 4 practical case studies • 1-year free AGRC membership • Practice Questions • Online Exam and AGRC Certificate WHO IS THIS COURSE FOR? Staff working in or aspiring to work in the compliance area * New graduates from any discipline * Staff involved in risk functions and internal or external audit * Those wanting to build a career in compliance in the fields of: Banking – Insurance – Other financial services REQUIREMENTS No previous knowledge or experience is required though it is assumed that participants have good knowledge of English and sound educational background. CAREER PATH Compliance Officer, Head of Compliance, Compliance Director

Begin your journey in compliance management with practical knowledge of the laws and legislations that make up the regulatory field in the United Kingdom. Do you know that FCA sets an annual CPD requirement both for senior managers and employees of financial service firms? As per TC 2.1.15 & 2.1.16, the requirement is 35 hours in each 12 months, including 21 hours of structured CPD activities. Furthermore, TC 2.1.20G27/05/2022 defines structures CPD activities as follows: “Examples of structured continuing professional development activities include participating in courses, seminars, lectures, conferences, workshops, web-based seminars or e-learning.” Our FCA Compliance Essentials Bundle, fulfilling and even exceeding the FCA requirement in terms of CPD hours, is ideal for any professional within Financial Services. -------------------------------------------------------------------------------- Study method Online, self-paced Course format Video with subtitles Duration 40 hours Qualification No formal qualification CPD 40 CPD hours / points Certificates Certificate of Completion - Free -------------------------------------------------------------------------------- DESCRIPTION LGCA's FCA Compliance Essentials eLearning library currently includes the following courses (new courses are added on a regular basis): 1. AML Risk Assessment 2. AML Suspicious Activity Reports and Suspicious Transaction Reports (SAR/STRs) 3. Anti-Bribery and Corruption 4. Anti-Money Laundering and Counter Terrorist Finance 5. Approved Persons Regime 6. Assessing and Managing AML Risks 7. Building an AML Risk-based Approach 8. CASS Introduction 9. Complaints Handling 10. Compliance Introduction 11. Compliance Monitoring and Testing 12. Conduct Rules for All Staff 13. Conflict of Interest (COI) 14. Consumer Duty 15. Establishing and Maintaining a Strong CDD Programme 16. Ethics, Integrity and Fairness in Financial Services 17. FCA: the Role and Approach 18. Financial Promotions Regulation 19. Fraud Detection and Prevention 20. GDPR Awareness 21. Introduction to Cybersecurity 22. Introduction to Know Your Client (KYC) and Customer Due Diligence (CDD) 23. Market Abuse (MAR) 24. Operational Resilience 25. Senior Managers and Certification Regime 26. SM&CR – The Conduct Rules 27. Suspicious Transactions/Activity Reporting 28. The Value of Customer Due Diligence (CDD) 29. Treating Customers Fairly 30. Vulnerable Customer Management 31. Whistleblowing 32. Creating a Compliance Culture in Financial Services WHO IS THIS COURSE FOR? * Financial Services Providers * Accounting Offices * Financial Institutions * Brokers * Wealth & Fund Managers * Investment Firms * Insurance Companies * Law Firms * Compliance Consultants * Payment Solutions Providers * FinTech & RegTech Companies * Fiduciary Services Firms

Description FCA COMPLIANCE ESSENTIALS Begin your journey in compliance management with practical knowledge of the laws and legislations that make up the regulatory field in the United Kingdom. Do you know that FCA sets an annual CPD requirement both for senior managers and employees of financial service firms? As per TC 2.1.15 & 2.1.16, the requirement is 35 hours in each 12 months, including 21 hours of structured CPD activities. Furthermore, TC 2.1.20G27/05/2022 defines structures CPD activities as follows: 'Examples of structured continuing professional development activities include participating in courses, seminars, lectures, conferences, workshops, web-based seminars or e-learning.' Our FCA Compliance Essentials Bundle, with an overall duration of about 40 hours, fulfils and even exceeds the FCA requirement in terms of CPD hours and is ideal for any professional within Financial Services. Enroll now and enjoy a special price! Who should attend? * Banks' managers/officers * Investment Services Companies managers/officers * Insurance Companies managers/officers * Listed Companies managers * IT managers/officers of companies developing IT systems/applications for financial institutions in order for them to meet the regulatory requirements * Lawyers * Officers exercising control activities (internal auditors, inspectors, external auditors, operational risk managers etc) * Professionals wishing to work in Compliance in the future * Graduate or post graduate students. * Professionals that wish to make an international career in Compliance and would like to have a broader picture of how Compliance works and its methodologies, at international level. * Compliance Officers * Risk Managers * MLROs

ICA PROFESSIONAL POSTGRADUATE DIPLOMA IN GOVERNANCE, RISK & COMPLIANCE This leadership programme has been designed to sharpen the strategic skills of senior managers and those aspiring to hold the highest compliance positions within an organisation. This expert qualification offers: * Specialist knowledge - the highest level in the field * Strategic thinking - helps your leadership ambitions * Innovation - explores new ideas, best practice, and future developments from a global perspective * Fellowship of ICA - become automatically eligible for the highest grade of membership * Networking - grow with other like-minded, senior professionals. Join hundreds of senior compliance professionals from over 50 countries who unlocked their leadership potential and improved their career growth opportunities with this qualification. This course is awarded in association with Alliance Manchester Business School, the University of Manchester. HOW AND WHERE CAN YOU STUDY The course takes 9-12 months to complete. It is a blend of online self-study, research, attendance at masterclasses and interaction with other like-minded, senior practitioners. * Attendance at eight virtual masterclasses * Seven virtual classrooms * Oral assessment. DELIVERED ONLINE This course is delivered online with materials delivered for you to study in your own time and at your own pace. There will be eight 3-hour virtual masterclasses over four weekends and seven live virtual classrooms spread over the duration of the course. CERTIFICATION Practitioners who successfully complete the programme will be certificated as follows: * ICA Certified Professional designation awarded by the ICA * Professional Postgraduate Diploma in Governance, Risk and Compliance awarded by ICA in association with University of Manchester Business School * Fellowship of the ICA (upon application) * Designation, ICA Professional Postgraduate Diploma in Governance, Risk and Compliance: PG Dip (G.R.C.) Fellowship of ICA:FICA [E.g. Angela Watts PG Dip (G.R.C.), Certified Professional; FICA] NATIONAL OCCUPATIONAL STANDARDS OF COMPETENCE Your performance on the programme will be measured, against the National Occupational Standards of Competence (2011 version) produced originally by the Financial Services Skills Council (FSSC) and the ICA and revised recently by the Financial Skills Partnership. The Standards are statements of competence which articulate the requirements for effective performance in the workplace. Competence is defined as a combination of skills as well as knowledge and understanding. The syllabus covers a variety of key issues relevant at a senior level and is designed to provide an insight into risks and potential hurdles faced by your organisation. The syllabus is delivered by an exclusive series of high profile masterclasses covering relevant topics. * Building and leading a world class compliance team * Strategic risk management for leaders * Behavioural compliance: the role of psychology in culture and ethical behaviour * Keeping up with emerging regulatory developments * Governance, risk and compliance in the digital world * Applying governance, conduct and outcomes for the benefit of the organisation * Leading change in governance, risk and compliance * Financial crime risk in the digital age.

In this day and age, it’s crucial to know everything there is to know about international economic sanctions. With AGRC’s Certificate in Sanctions Compliance, you will acquire the theoretical and practical knowledge and skills to comply with any sanction imposed and protect your business from penalties and reputational damage.

ICA CERTIFICATE IN COMPLIANCE A practical, introductory-level course that will give you a solid understanding of core compliance issues. Through this qualification, you will: * learn what regulation is and why we need it * discover how we got to where we are today * appreciate the role of compliance functions and compliance professionals * understand how compliance works in practice The course is suitable for anyone who wants to learn more about compliance, the regulatory environment, and the role played by compliance, and for those considering embarking on a new career in compliance as a stepping-stone for study at a higher level. This course is awarded in association with Alliance Manchester Business School, the University of Manchester. There are many benefits of studying with ICA: * Flexible learning solutions that are suited to you * Our learner-centric approach means that you will gain relevant practical and academic skills and knowledge that can be used in your current role * Improve your career options by undertaking a globally recognised qualification that hiring managers look for as part of their hiring criteria * Many students have stated that they have received a promotion and/or pay rise as a direct result of gaining their qualification * The qualifications ensure that you are enabled to develop strategies to help manage and prevent risk within your firm, thus making you an invaluable asset within the current climate Following successful completion of this course, students will be awarded the ICA Certificate in Compliance and will be able to use the designation 'Cert. (Comp). This course is awarded in association with Alliance Manchester Business School, the University of Manchester. This ICA Certificate in Compliance course provides Participants with a detailed overview of the following topics: * What is regulation and why do we need it? * How did we get to where we are today? * The role of compliance * Compliance in practice How will you be assessed? * A 1 hour multiple choice closed book exam that is taken online

In this day and age, it’s crucial to know everything there is to know about international economic sanctions. With AGRC’s Certificate in Sanctions Compliance, you will acquire the theoretical and practical knowledge and skills to comply with any sanction imposed and protect your business from penalties and reputational damage. Over the past several decades, international economic sanctions have become a central instrument in global governance, being employed by both sovereign states and international organisations. More recently, there has been a shift towards ‘smart’ or targeted sanctions that aim at the political and economic elites of targeted countries (e.g., through asset freezes and travel bans) rather than a more comprehensive sanctions approach (e.g., large-scale trade or oil embargoes) that has a detrimental effect on civilian populations. In the era of financial globalisation, such ‘smart’ sanctions entail increased compliance obligations for state institutions and private organisations which, if not met, carry significant fines, penalties, and other adverse consequences. -------------------------------------------------------------------------------- Study method Online, self-paced Duration 25 hours Access to content 365 days Certification Certificate in Compliance Additional info Exam(s) / assessment(s) is included in price -------------------------------------------------------------------------------- DESCRIPTION This certificate provides a thorough understanding of sanctions and an opportunity to explore the recent global trends in economic sanctioning, while tracing the roles of the relevant actors within this complex framework. You will examine the motives and rationale behind such decisions, the effects and consequences experienced not only by the targeted parties but also those doing business with them, either directly or indirectly. The certificate is structured to offer the relevant knowledge with reference to practical examples that will enable for a sanctions compliance strategy to be conducted in an effective manner, essential to mitigating the sanctions risk. Topics Covered • Definition of sanctions • Framework and legal basis • The international framework • Multilateral sanctions • Unilateral sanctions and key sovereign states • The legal and institutional framework • Categories of restrictive measures • Administration of sanctions • Managing and mitigating sanctions risk • Sanctions compliance programmes • Processes and systems • Sanctions screening and evasion Expected Learning Outcomes Upon completing this certification, you will be able to: • Understand sanctions and the importance of compliance • Understand why it’s important to comply • Review and understand the global sanctions framework • Define a sanctions compliance programme and governance framework • Define sanctions lists and screening • Manage alert investigations • Understand sanctions risk • Determine how much your institution is vulnerable to sanctions risks • Apply modern methodologies that will increase the efficiency and effectiveness of your programme • Protect your institution from dealing with embargoed individuals or entities • Understand the best practices for sanctions compliance controls WHO IS THIS COURSE FOR? * Financial crime and regulatory compliance professionals * Professionals working within the sanctions environment who wish to certify their knowledge * Operational staff who need to understand the importance of sanctions compliance * Regulators * Consultants * AML, compliance, and risk professionals * Anyone working in financial services interested in attaining a better understanding of how sanctions work REQUIREMENTS No previous knowledge or experience is required, although it is assumed that participants have good knowledge of English and sound educational background.

Ensure your organization adheres to regulations and ethical standards with compliance management. Learn how to navigate regulations, mitigate risks, and maintain ethical standards effectively. Enrol now to protect your organization's reputation and ensure regulatory compliance.

By completing this course, students will appreciate the importance of compliance and risk management for governance, strategy, and operations. They will acquire skills to establish compliance programs, promote ethical cultures, and use risk management techniques in their own organisations.