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Preparing Yourself for Senior Compliance Responsibilities - A Guide For FCA
Authorised Firms


PREPARING YOURSELF FOR SENIOR COMPLIANCE RESPONSIBILITIES - A GUIDE FOR FCA
AUTHORISED FIRMS

Type
Speaker
CPD Hours Level Seminar
Robert Bell
6 Intermediate


SRA Competency
Email Print



COURSE OUTLINE

Introduction

This new full day course is aimed at those who are seeking to become authorised
by the FCA for senior compliance roles.

The course will prepare you for your senior compliance responsibilities so that
you feel confident in your scope of knowledge, skills and behaviours to perform
your roles at a competent level.

It will also inform you on how to maintain and enhance your competence over the
longer term, subsequently applying the learning in your workplace for client and
business benefit and will include examples of strong and weak compliance
oversight within FCA authorised firms.

What You Will Learn

This course will cover the following:

 * Familiarisation with the senior compliance role and application of the FCA’s
   expectations for the good governance and positive culture of the business
 * Familiarisation with key, relevant FCA rules via its handbooks and
   sourcebooks, guidance and future initiatives
 * Learn and apply knowledge of the relevant areas of compliance to your own
   business and client needs
 * Learn how to design and implement a robust compliance framework that will
   benefit your business and feed relevant, qualitative information to the
   senior management
 * Learn how to remain up to date with FCA requirements


BOOK NOW


ADDED TO BASKET

Seminar | 08.03.2022

London | 9:30am - 5:15pm

--------------------------------------------------------------------------------

Preparing Yourself for Senior Compliance Responsibilities - A Guide For FCA
Authorised Firms

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Mar
8
2022
London
9:30am - 5:15pm

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Prices (ex VAT)
Smart
Plan
£243
Season
Ticket
£270
Standard
£540

Group bookings
Discounts are available for multiple places and if you have 5 or more people
interested in this course and would like to discuss holding it in your area or
on an in-house basis then please email us at information@mblseminars.com
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