97 Financial Services courses

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.

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, slides, article/plain text Duration 15 hours Access to content 365 days Certification AGRC Certificate in ESG Principles and Standards -------------------------------------------------------------------------------- OVERVIEW During the past several years, ESG has gained plenty of prominence throughout the corporate world as a growing number of organisations have started embracing its three pillars and setting up programmes targeting issues such as climate change, diversity, equity and inclusion, employee benefits, executive bonus structures, and more. Pressure from stakeholders, the upcoming generation of professionals and consumers, and society at large have made it a crucial part of any organisation’s strategy to look after their activities and performance in these areas. In many cases, these organisations’ growth, stability, and continuity as businesses are at stake. As part of this programme, you will pick up the ins and outs of ESG from a compliance and reporting perspective and be better prepared to help your organisation develop a sound, effective, and long-term strategy to tackle all ESG issues. CERTIFICATION AGRC CERTIFICATE IN ESG PRINCIPLES AND STANDARDS Awarded by Association of Governance, Risk and Compliance DESCRIPTION The AGRC Certificate in ESG Principles and Standards provides participants with a thorough understanding of a topic that has gained increasing significance and attention amongst corporations, regulators, and researchers. At the same, the Certificate offers guidance as to how corporations can best prepare under the growing number of ESG-related regulations. Topics to be covered by this certificate include: * The Stakeholder Theory * Corporate Social Responsibility (CSR) vs. ESG * Sustainability * The Environment, Social and Governance Pillars * Green Finance * Principles of Responsible Banking, Investment, and Insurance * The Business Case for CSR, ESG, and Sustainability * Global Initiatives and Development such as The Paris Agreement, the European Green Deal, and the UK’s Green Finance Strategy * ESG Reporting Standards and Frameworks * ESG Investing Strategies * The Push for ESG into the Future By acquiring the Certificate, participants will be able to: * Define the three ESG pillars—Environment, Social and Governance. * Identify the importance of ESG and CSR programmes to an organisation’s corporate governance practices. * Understand the main concepts behind Green Finance and how responsible banking, investment, and insurance work within this framework. * Describe the objectives and main tenets of the many global initiatives set up to encourage policies that will contribute to the growth and advancement of ESG issues. * Study the main ESG reporting standards and frameworks so that your organisation is better prepared to fulfil its reporting requirements. * Understand the main concepts behind ESG investing. WHO IS THIS COURSE FOR? This course is ideal for anyone wishing to be introduced to ESG and the different requirements that this sector might entail moving forward. 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. REQUIREMENTS No previous knowledge or experience is required, although it is assumed that participants have good knowledge of English and a sound educational background.

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.

This module provides an overview of the individual Conduct Rules introduced by the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) - the UK's financial services regulators - which initially came into effect progressively between 2016 and 2021. The rules are part of the Senior Managers and Certification Regime (SMCR), a package of measures that represent a fundamental change in the way in which individuals working within the UK financial services sector are held to account by the regulators. These Conduct Rules originally applied only to those firms which are 'dual-regulated' by both the PRA and the FCA. The SMCR was extended in December 2019 to apply to staff in all regulated firms. This module is intended for both staff who are subject to certification and to all other staff who are, apart from the Conduct Rules, not otherwise subject to the SMCR. If you are in a senior manager function (SMF) or a non-executive director (NED), this module does not address all of your Conduct Rule Obligations. You are encouraged to work through the LGCA's Conduct Rules for Senior Manager Professional course instead.

Description Of the many vulnerabilities and threats to the financial services sector, financial crime risk has emerged as a pervasive, yet widely misunderstood category of risk. As consumers, governments, and the financial industry have gained familiarity with various forms of financial crime, financial services organizations have seen that the underlying risk of financial crimes not only includes the direct action taken by criminals, but also includes the impact of deterrence, detection, and resolution on the organization and its customers. Financial services organizations have the difficult task of effectively identifying the greatest risks to themselves and to their customers, protecting both parties against unnecessary risks and satisfying regulatory requirements for greater transparency, awareness, and consolidation of information across the organization. This interactive and engaging programme aims to help participants understand the financial crime regulatory framework; and develop a comprehension on the management of financial crime risks. 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 Financial Crime Risk Management, 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 • Consultants • Corporate executives (including CEOs and CFOs) • Senior managers • Risk executives • Directors • MLROs Training Method The course is offered fully online using a self-paced approach. The learning units consist of 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 upon completion of all units. 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.

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

Conflicts of interest are a critical concern in the financial services industry, where individuals and organizations often find themselves balancing multiple roles and responsibilities. This comprehensive course on Conflict of Interest Management in Financial Services Regulation is designed to provide professionals in the industry with a deep understanding of conflicts of interest, their implications, and the regulatory framework governing them. Participants will gain the knowledge and tools necessary to identify, assess, mitigate, and disclose conflicts of interest effectively.