Training and Development

Course objectives

To build on the basic knowledge gained on our own introductory course or elsewhere, to enable the delegates to understand the various functions that collectively make up the compliance function in financial services firms, such as asset managers and investment banks. This deeper understanding will enable the delegates to better sell their services to the financial services community.

Who should attend?

The course is structured specifically for people working in human resources, human capital management, recruitment and consultancy where the deeper understanding will enable the delegates to both better sell their services to financial services firms and better source and recommend candidates for compliance roles.

Course structure

Held in the heart of the City, the course is an interactive, lecture-based programme.

The course includes:

    Regulatory structure
  • Regulatory approach
  • Authorised persons
  • Approved persons
    Controlled functions
    Statements of Principle
  • FSA Handbook
    Broad overview of contents
  • Disciplinary actions
  • Particular regulatory requirements
  • Anti-money laundering
  • Insider dealing/market abuse
  • PA dealing
  • Recent developments
  • MiFID
  • Basel 2
  • Overview of a compliance department

Half-day course: 14:00 - 17:00

Price: £295.00 + VAT

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“This course really was excellent. Very informative and presented extremely professionally - I would definitely recommend it to others.”
Major Recruitment Consultancy
“A comprehensive overview of the financial markets with a great use of current examples. Extremely worthwhile.”
Niche Search Firm
“The tutor was fantastic, very well structured, useful content & thoroughly enjoyable. A great way to meet people in the industry.”
HR Manager,
International Investment Bank
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