Compliance Risk In…
Overview
Compliance Officers are challenged to give advice, to review new products and transactions and to monitor business practices in a highly technical environment. They are also expected to have the interpersonal skills to deal with highly incentivised business people and Senior Management.
This product-based course is designed to give Compliance Officers the tools to understand the products and markets and to work with the business to produce solutions. Where solutions are not immediately achievable, your trainer will give advice on diplomatic, yet assertive disagreement, based on decades of dealing with Traders, Salespeople, Analysts, Corporate Bankers and Senior Management in often highly charged environments.
Who is this for?
This course is designed for Compliance Officers who interact with the first line and can cover those fairly new to Compliance and more senior people as they deal with Senior Management where issues have been escalated.
Learning Outcomes
Participants at this workshop will:
- Increase their knowledge of your market
- Improve their understanding of the rules attached to those products
- Increase their skills in dealing with those rules in practice
Leading to:
- Closer co-operation between the business and Compliance
- Mitigation of the Firm’s Compliance risk
Course Details
Your Market: FX, Equity Derivatives, Commodities etc.
- A short history of the market
- The different products traded by firms
- Where and how are they traded?
Key Regulations
- Product Governance
- Financial Promotions
- Market abuse
- Best execution
- Appropriateness and suitability
- Conduct Risk
Delivery
Have the flexibility to deliver your In-House training in-person by one of our trainers at your premises, or virtually via Zoom, Teams or Webex.
Find out more about your Virtual or In-Person training experience below.
Virtual Delivery
Our virtual training courses are designed to be every bit as engaging as our in-person courses. To achieve this, our trainers use market-leading technology and a range of training techniques to ensure high levels of interaction with participants. Courses include the use of:
- Virtual ‘break-out’ rooms: participants are divided into virtual rooms to facilitate small group discussion.
- Polling: multiple-choice questions, answered anonymously, allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to highlight the practical application of theoretical knowledge.
- Messaging: participants can submit questions and comments, either to the whole group or privately to the trainer.
Additional Benefits:
-
Recording: public course participants have the option to access a recording of the course for one month after the course. In-House clients also have the option to record their training for an additional fee.
-
On-going Q&A: public course participants can access an ongoing Q&A facility allowing them to ask questions relating to the course.
In-Person Delivery
Our in-person training is delivered face to face at your offices, and includes:
- ‘In-the-moment’ questions & discussions: questions through conversations allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to explore practical application of theoretical knowledge.
- Q&A: participants can ask questions during training, either to the whole group or privately to the trainer.