Compliance Officer – 2 Day Course

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Date/Time
Date(s) - 25/01/2018 - 26/01/2018
9:00 am - 4:30 pm

Location
2nd Floor, Barlow House,

Descriptions

Are you worried about Compliance?  The rules are complicated and very difficult to understand.  Are you doing enough – or are you doing the wrong thing?

– Let us simplify it for you and you will know what to do and how to do it

Our two day comprehensive Compliance Officer course is designed by experts to help consolidate your existing knowledge and plug any gaps. We look at the key responsibilities of a compliance officer, explore the various regulatory risk areas, and help you through the minefield of complex FCA rules, guidelines and requirements

You cannot afford to miss this course!

Topics covered in the two days include:

  • Understanding the roles and responsibilities of the Compliance Officer
  • A look at controlled functions and the responsibilities of Directors and Approved Persons
  • The new Senior Managers Regime
  • Understanding the FCA objectives; their approach and their expectations, including a look at how they supervise firms, enforcement, recent fines and thematic reviews
  • The Insurance Distribution Directive
  • Sales (retail and commercial), including ICOBS, documentation, TOBA’s, scripts and financial promotions
  • Financial Management and understanding Client Money and Risk Transfer agreements
  • Evidencing effective Governance and controls/identifying and managing Conflicts of Interest
  • The Compliance plan/Risk Management
  • Training and Competence, including recruitment, supervision and monitoring (file checks, audits etc)
  • Managing business partners (Appointed Reps, Introducer Appointed Reps, Outsourced functions)
  • Complaints Handling Rules/Treating Customers Fairly
  • Financial Crime, General data Protection Regulation, Anti-Bribery and Money Laundering (as it applies to General Insurance)
  • Regulatory submissions and reporting requirements

Who should attend?

This two day session provides an excellent update and refresher session for existing compliance officers  – you will benefit from a recap of the key regulatory risk areas, a reminder of where your focus needs to be (and why), a look at the FCA’s current focus and expectations and a chance to ask questions on areas you need help with.

Company Directors, Approved Persons, those new to the compliance role, or those who carry the responsibility of compliance in addition to other roles within the business will also find this course invaluable.

Feedback from previous courses:

  • A fantastic Training course delivered in a fresh, open and clear manner  
  • The whole course was of great use
  • Compliance has the potential to be boring. You make it bearable and not so scary! 

The Cost: £595 plus VAT per delegate (for the 2 day course) and includes lunch and refreshments on both days

To book: Please call the office on 0161 870 6637 or email deborah@createsolutions.co.uk

 

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