84 Financial Services courses delivered On Demand

INTRODUCTION: Finance is key to economic development. It provides an investment basis and supports the flow of income and expenses. A country's financial sector transforms its economic savings into investments. An efficient financial sector does not just accomplish that, but also encourages savings and increased investment. Eventually, it results in increased income levels, and faster economic growth of the country. The financial sector also provides money and methods of payments to support the exchange of economic goods and services. However, financial regulation is key to the efficient functioning of the financial sector. Financial regulation comes in to offer varied benefits to both consumers and players in the industry. This course covers the Financial Services and Markets Act (FSMA) in the United Kingdom. It is a key regulator of the UK financial sector. First, we give extensive details about the Act. The course explains what it is and the varied functions it plays in the UK's financial sector. It further explains the different regulatory bodies that work under the Financial Services and Markets Act, including subordinate legislation. Next, it states the various regulated financial activities in the UK under the financial framework. Finally, it concludes with a few benefits of regulating a financial services market.   WHAT YOU WILL LEAN: * What the Financial Services and Markets Act is and what it does * The key roles and functions of the FSMA * The regulatory bodies working under the Financial Services and Markets Act * The benefits of regulating the financial services sector * The varied functions of the FCA, PRA and FPC BENEFITS OF THIS COURSE Taking this Course Will Help You: * Understand the role of financial regulators * Understand the different aspects of the financial services sector that the Act affects * Understand the Financial Services and Markets Act and its role in the UK's financial services sector * Learn the various bodies or regimes involved in financial regulation * Learn the importance of financial regulation * Gain basic knowledge of industry regulation before entering the financial sector to start a business

The aim of this self-paced eLearning course is to equip financial professionals, leaders, and compliance professionals with a comprehensive understanding of compliance culture in financial services. Participants will gain insights into the critical components of compliance culture, regulatory perspectives, assessment methodologies, and practical strategies for fostering and sustaining a robust compliance culture within their organizations. By completing this self-paced eLearning course, participants will be well-prepared to navigate the complex landscape of compliance culture in financial services and contribute to the development of a culture aligned with ethical principles and regulatory requirements.

Description Given its role and importance to any functioning modern economy, 'trust' is an essential ingredient between providers of financial services, its clients and even wider society. Culture, conduct and ethics are words which have come to pepper the regulatory lexicon. The importance of these intangible concepts and 'getting it right' has been clearly communicated, and myriad speeches and initiatives in the financial services sector focus on these themes. This programme does not purport to dictate how firms should define their values or operate their businesses. However, lawmakers, regulators and society have defined certain minimum expectations and standards of behaviour from the perspective of customer and business outcomes. These are sometimes framed or described (whether explicitly or implicitly) as issues of trust, integrity or honesty; concepts which have a distinct ethical underpin. Firms and individuals operating in the sector must be conscious and mindful of these standards and expectations and consider both whether they are satisfying the letter and spirit of the rules and/or guidance and whether the values and principles which they have set for themselves are effective in directing and delivering the firm's desired outcomes. Training Duration This course may take up to 2 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 know more about Ethics, Integrity and Fairness in Financial Services, and the regulatory requirements for investment firms, insurance and banking institutions. It is also suitable to professionals pursuing regulatory CPD in Financial Regulation (such as the FCA etc). It will be particularly suitable to: • Compliance professionals and consultants • Boards, NEDs and Senior Managers • Risk executives • Directors 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. Accreditation and CPD Recognition This programme has been developed by the London Governance and Compliance Academy (LGCA), a UK-recognised training institution. The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for 2 CPD Units that approve education in financial regulation, such as the FCA and other financial regulators. The course may be also approved for up to 2 CPD Units by institutions that approve general financial training, such as the CISI. Eligibility criteria and CPD Units are verified directly by your association or other bodies in which you hold membership. 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. If you wish to receive an invoice instead of paying online, please contact us at info@lgca.uk. Access to the course is valid for 365 days.

In today's rapidly evolving financial landscape, ensuring the security of transactions is paramount. 'Transaction Monitoring in Financial Services: Ensuring Security' offers a comprehensive deep dive into the world of transaction analysis and its vital role in safeguarding financial institutions. Learners embark on a journey from understanding the basics in our first module, to exploring the intricate nuances of regulatory structures, and finally envisioning the future of transaction monitoring. It's a blend of critical knowledge and innovative insights designed to bolster financial security measures. This course demystifies the complexities behind transaction monitoring systems, highlighting the imperative need to reduce false positives. Furthermore, attendees will delve into the signals of suspicious activities, counter-terrorism financing techniques, and the significance of name screening in the contemporary financial ecosystem. As the digital age advances, there's no better time than now to equip oneself with the expertise to navigate the challenges and opportunities of transaction security. Learning Outcomes * Comprehend the foundational concepts of transaction monitoring in the financial sector. * Analyse the regulatory framework, discerning its significance in a risk-based approach. * Evaluate transaction monitoring systems and strategise methods for minimising false positives. * Identify and respond to red flags while efficiently leveraging Suspicious Activity Reports (SAR). * Understand terrorism financing deterrents, the process of name screening, and the importance of meticulous record-keeping. WHY BUY THIS TRANSACTION MONITORING IN FINANCIAL SERVICES: ENSURING SECURITY? 1. Unlimited access to the course for a lifetime. 2. Opportunity to earn a certificate accredited by the CPD Quality Standards and CIQ after completing this course. 3. Structured lesson planning in line with industry standards. 4. Immerse yourself in innovative and captivating course materials and activities. 5. Assessments designed to evaluate advanced cognitive abilities and skill proficiency. 6. Flexibility to complete the Course at your own pace, on your own schedule. 7. Receive full tutor support throughout the week, from Monday to Friday, to enhance your learning experience. 8. Unlock career resources for CV improvement, interview readiness, and job success. WHO IS THIS TRANSACTION MONITORING IN FINANCIAL SERVICES: ENSURING SECURITY FOR? * Financial analysts eager to deepen their understanding of transaction security. * Regulatory compliance officers keen on fortifying institutional safeguards. * Risk management professionals aiming to master transaction analysis techniques. * Finance students seeking cutting-edge knowledge in transactional security measures. * Digital banking technologists desiring to ensure robust digital transaction security. CAREER PATH * Financial Security Analyst: £40,000 - £60,000 * Compliance Officer: £30,000 - £50,000 * Risk Management Specialist: £45,000 - £65,000 * Financial Systems Developer: £50,000 - £70,000 * AML (Anti-Money Laundering) Specialist: £35,000 - £55,000 * Digital Banking Strategist: £55,000 - £75,000 PREREQUISITES This Transaction Monitoring in Financial Services: Ensuring Security does not require you to have any prior qualifications or experience. You can just enrol and start learning.This Transaction Monitoring in Financial Services: Ensuring Security was made by professionals and it is compatible with all PC's, Mac's, tablets and smartphones. You will be able to access the course from anywhere at any time as long as you have a good enough internet connection. CERTIFICATION After studying the course materials, there will be a written assignment test which you can take at the end of the course. After successfully passing the test you will be able to claim the pdf certificate for £4.99 Original Hard Copy certificates need to be ordered at an additional cost of £8. COURSE CURRICULUM Module 01: Introduction to Transaction Monitoring Introduction to Transaction Monitoring 00:12:00 Module 02: Regulatory Framework and Risk-Based Approach Regulatory Framework and Risk-Based Approach 00:13:00 Module 03: Transaction Monitoring Systems and False Positives Reduction Transaction Monitoring Systems and False Positives Reduction 00:13:00 Module 04: Red Flags and SAR Red Flags and SAR 00:13:00 Module 05: Terrorism Financing, Name Screening, and Record-Keeping Terrorism Financing, Name Screening, and Record-Keeping 00:33:00 Module 06: Future of Transaction Monitoring Future of Transaction Monitoring 00:25:00

In this course, you will explore the core principles of risk and risk management in the context of the financial services sector. This training programme will cover a wide range of topics, from the regulatory environment and risk identification to the three lines of defence model and the impact of risk on the broader business environment. By the end of this course, you’ll be equipped with the knowledge and skills necessary to navigate the complex world of financial risk management. This training programme will guide you through the intricacies of the financial services industry, providing real-world examples and practical insights. The course features a structured approach with end-of-chapter questions to test your understanding, ensuring that you’re well-prepared to tackle risk management challenges. Join us on this educational journey to enhance your understanding of risk management in financial services and to develop the expertise needed to thrive in this dynamic industry! -------------------------------------------------------------------------------- Study method Online, self-paced Course format What's this? Reading material - PDF/e-book, article/plain text Duration 30 hours Access to content 90 days Certification Certificate in Risk Management Certificates Qualification Certificate - Free -------------------------------------------------------------------------------- DESCRIPTION The AGRC Certificate in Risk Management is a comprehensive programme aimed at providing participants with a deep understanding of risk and risk management within the financial services sector. This course covers a wide array of topics, including the regulatory environment, risk identification, and the three lines of defence model. By the end of the program, participants will be equipped with the knowledge and practical skills required to navigate the intricacies of financial risk management. Whether you’re a student, professional, or simply interested in financial risk management, this course offers a solid foundation in this critical field. The expected learning outcomes encompass an array of skills, from understanding risk principles to conducting risk assessments and applying risk management frameworks in practical scenarios. This program is a valuable educational journey for those seeking to excel in the dynamic world of financial services. Some of the topics to be covered by this Certificate include: * Principles of Risk and Risk Management * The Financial Services Sector * Impact of Risk in Financial Services * The Regulatory Environment in Financial Services * Establishing and Applying a Risk Management Framework * Approaches Used to Identify, Assess, and Treat Risks * The Three Lines of Defence Model * Sources of Risk in Financial Services * Risk Assessments in Financial Services * Risk Treatment and Incident Response WHO IS THIS COURSE FOR? This course is ideal for anyone wishing to be introduced to risk management in the financial services industry. Professionals carrying out the roles of directors, members of the Board, senior managers, lawyers, company secretaries, compliance and risk officers, and consultants may benefit from this course. It is also suitable to professionals pursuing regulatory CPDs in financial regulation. REQUIREMENTS No previous knowledge or experience is required, although it is assumed that participants have good knowledge of English and a sound educational background.

Key Highlights of this fast track Diploma in Accounting and Finance - Level 7 qualification are: Program Duration: 6 Months (Regular mode also available)) Program Credits: 120 Designed for working Professionals Format: Online No Written Exam. The Assessment is done via Submission of Assignment Tutor Assist available Dedicated Student Success Manager Timely Doubt Resolution Regular Networking Events with Industry Professionals Become eligible to gain direct entry into relevant Master's degree programme. LSBR Alumni Status No Cost EMI Option The objective of this fast track Level 7 Diploma in Accounting and Finance (accredited by Othm) qualification is to provide learners with an understanding of: * Contemporary and specialised approaches to accountancy and finance * Key practical, theoretical and empirical issues, and academic research * The complexity of the ever-changing legal framework in which the financial sector operates * The latest developments in accountancy and reporting required by local, national and European government. This fast track Level 7 Diploma in Accounting and Finance qualification equips learners with the essential skills and knowledge needed to pursue high level careers in all types of organisations in the public and private sector and within industry and commerce, both in the UK and abroad. The Level 7 Diploma in Accounting and Finance qualification in fast track mode also provides learners with the opportunity to work toward a relevant Master's programme with advanced standing. This qualification is designed for learners who wish to pursue a career in the: * Financial Services industry, * Professional Accountancy, * Banking and Finance or * Management. WHO IS THIS COURSE FOR? Who is this Program For?Working Professionals, Level 6 / Year 3 of a three-year UK Bachelor's degree holders or learners who are looking for Career Progression and a formal Postgraduate qualification leading to award of degrees in future. REQUIREMENTS Minimum EligibilityFor entry onto the fast track Level 7 Diploma in Accounting and Finance qualification, learners must possess an honours degree in related subject or UK level 6 diploma or an equivalent overseas qualification. Learner must be 18 years or older at the beginning of the course. No formal qualification is required from mature learners (over 21 years) who have relevant management experience. Please speak to the Admission Counsellors for waiver information. CAREER PATH OpportunitiesYou may look forward to role in Financial Services industry, Professional Accountancy, Banking and Finance or Management. Upon successful completion of the programme, you will also become eligible to gain direct entry into relevant Master's degree programme.

ICA SPECIALIST CERTIFICATE IN FINANCIAL CRIME RISK AND NEW TECHNOLOGY Explore the landscape of new and emerging technology in today's world, viewed through the lens of financial crime risk management. This practical course is ideal for compliance professionals and will help you: * understand innovations impacting the financial sector * understand the definitions and subsets of RegTech and FinTech and how to potentially leverage big data to prevent financial crime * assess the benefits and risks of new technologies * adopt the horizon-scanning approach to emerging technologies. ICA Specialist Certificates, awarded in association with Alliance Manchester Business School, the University of Manchester, will help you quickly gain actionable knowledge to boost your confidence and credibility. What will I learn? * Applying financial crime concepts to emerging technology * Emerging technologies and financial crime risk * The impact of innovation on financial services * Harnessing RegTech to minimise financial crime * Predicting the next wave of disruptive technology for financial services

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

The financial technology industry is rapidly transforming the way we manage our money. From mobile payments to cryptocurrency, FinTech is making financial services more accessible, affordable, and efficient.

The objective of Level 7 Diploma in Accounting and Finance (accredited by Othm) qualification is to provide learners with an understanding of: * Contemporary and specialised approaches to accountancy and finance * Key practical, theoretical and empirical issues, and academic research * The complexity of the ever-changing legal framework in which the financial sector operates * The latest developments in accountancy and reporting required by local, national and European government. This Level 7 Diploma in Accounting and Finance qualification equips learners with the essential skills and knowledge needed to pursue high level careers in all types of organisations in the public and private sector and within industry and commerce, both in the UK and abroad. The Level 7 Diploma in Accounting and Finance qualification also provides learners with the opportunity to work toward a relevant Master's programme with advanced standing. This qualification is designed for learners who wish to pursue a career in the: * Financial Services industry, * Professional Accountancy, * Banking and Finance or * Management. Program Overview: Diploma in Accounting and Finance - Level 7Key Highlights of Diploma in Accounting and Finance - Level 7 qualification are: Program Duration: 9 Months (Can be Fast tracked) Program Credits: 120 Designed for working Professionals Format: Online No Written Exam. The Assessment is done via Submission of Assignment Tutor Assist available Dedicated Student Success Manager Timely Doubt Resolution Regular Networking Events with Industry Professionals Become eligible to gain direct entry into relevant Master's degree programme. LSBR Alumni Status No Cost EMI Option WHO IS THIS COURSE FOR? Who is this Program For?Working Professionals, Level 6 / Year 3 of a three-year UK Bachelor's degree holders or learners who are looking for Career Progression and a formal Postgraduate qualification leading to award of degrees in future.