Financial Sector Regulatory Compliance

London Corporate Training
Training overview
Professional Course
Classroom, Self-paced Online
5 days

Start dates
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Course description

Financial Sector Regulatory Compliance

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COVID-19 Update

This provider offers an online version of their classroom courses

This provider has changed its terms and conditions to allow for rebooking/an amended cancellation policy in light of COVID-19

Who should attend?

Managers and executives from financial sector organisations who wish to strengthen their compliance risk mitigation and want to effect a greater awareness of compliance within their organisation:

  • Risk managers
  • Decision makers in their organisation
  • New compliance officers
  • Internal auditors tasked with auditing the compliance function
  • Legal department managers
  • Treasury staff

Training content

  • Introduction to Regulatory Compliance and Compliance Risks
  • International and Supranational Standard-Setting Bodies
  • Complying with External Regulations
  • Internal Compliance
  • Global Internal and External Regulatory Compliance


Please contact us for more information on pricing.

Certification / Credits

By the end participants will know how to:

  • Describe the role of the Chief Compliance Officer in regulatory compliance and risk management
  • Review your financial institution’s existing processes and procedures and make recommendations for changes to bring them to international standards
  • Establish policies and procedures for conflicts of interest management and application of internal controls
  • Improve internal reporting to the Regulator, Board and Senior Management
  • Identify, analyse and mitigate compliance risks

Why choose London Corporate Training?

We have trained over 2,500 delegates from almost 600 client organisations

Complimentary Heathrow transfer (one-way)

Endorsed by various organisational and subject specific accrediting bodies

About London Corporate Training

London Corporate Training (LCT)

London Corporate Training have been established in the education, consulting and training industries for two decades. They work as a training team from their head office in London and aim to ensure all of their course participants receive the highest...

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Contact info

London Corporate Training

3 Shortlands, Hammersmith
W6 8DA London

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