6 FCA Compliance courses

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

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

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.

Boost your customer service, administrative, and back-office skills by getting certified in KYC and CDD by AGRC! This certificate will provide you with the tools and knowledge required to become an invaluable member of any institution’s client onboarding and customer retention process.

Become a financial crime prevention superhero with LGCA’s help! Pick up everything you need to know to join a company’s AML function and start fighting crime with your newfound knowledge and skills. The Certificate in AML provides participants with a thorough understanding of what constitutes Money Laundering (ML) and how financial institutions should respond to increasingly complex attempts by criminal individuals and entities to process proceedings from illegal activities in a manner that enables them to enjoy such illegal proceedings.

This course focuses on the Conduct Rules applying to individuals who work in FCA and PRA regulated firms. In this detailed course, we walk you through the background of FCA regulation. After that, we'll teach you what SM&CR is all about before finishing by looking at the Conduct Rules in more detail. This course includes quizzes, and a final exam where you'll need to score 80% in order to pass. Please note, this course is suitable for anyone working in an FCA or PRA regulated firm, at a Senior Manager level.