Compliance Officer Course: Discover how to build, operate and maintain a compliant financial services business
Strategi Institute has developed a compliance officer course specifically tailored for future financial advice provider (FAP) compliance officers/managers.
The focus of this course is on understanding the obligations relating to relevant legislation, regulation and codes and building a compliance assurance programme proportional to the business size.
Successful completion of this two-day course will provide the compliance officer/manager with sufficient knowledge to identify what is required for their future FAP and either build the processes internally or to take external resources and customise them for their business.
What you will learn
- The practical items your business needs to put in place to obtain its full FAP licence;
- What needs to be in place, so you are compliant when the new regime commences in about 12 months’ time;
- What ‘good conduct’ means and how you can practically demonstrate it in your business;
- How to build a compliance assurance programme and governance framework that is the right size for your business;
- How to save thousands in future compliance costs by harnessing technology and taking a client first approach with your FAP licence planning, and
- The secrets to building a robust cyber-security policy and what it means for your business.
Download the course content to view more information on what the course covers.
What you will receive
- Course workbook including provision of a range of templates and guidance notes that can be used within your business;
- Two days of classroom training and interaction;
- Pre- and post-course assignment, and
- Issue of Strategi Institute certificate for course completion.
Download the compliance course brochure for a summary overview of the course and book now to secure EARLY BIRD prices. (Note: Early Bird pricing only available if registered and paid for course a minimum of 30 days prior to course start date.)