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Compliance & Regulatory

Compliance / Regulatory Training & Courses

Regulatory Compliance is a set of processes and laws put in place by the bodies which control financial activity and is important to financial services firms. Compliance and Regulatory training courses ensure staff are clear ontheir regulatory responsibilities and the current regulations.

Learn more about how to develop your Compliance & Regulatory skills.  Request information to find out more, and a course provider will contact you.

Displaying 1-50 of 170 results
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ACAMS - Financial Crime Qualification Training
Risk Reward Limited
2,295 GBP
Multiple (2)
Our three day intensive course is designed with two main objectives in mind. Firstly, to give candidates a holistic and...
Accounting Issues for Corporate Lawyers
BPP Professional Education
497 GBP
London
This course will highlight the finance and accounting questions that the transactional lawyer should be thinking about to ensure a...
Accredited Level 3 Diploma in Compliance Management
Oxford Learning College
850 GBP
Distance
This diploma is designed to explore Compliance Management. Within this course you will learn how changes in compliance management practice...
Advanced Skills of the Bid and Tender Management Process
London Training for Excellence
2,515 GBP
Multiple (13)
Introduction This course has been designed to assist procurement specialists in the development of realistic and measurable evaluation criteria thus...
AIFMD
Eureka Financial
950 GBP
London
The scope of the AIFMD is broad and, with a few exceptions, covers the management, administration and marketing of alternative...
AIFMD - A Practical Guide
BPP Professional Education
615 GBP
London
The 2013 Alternative Investment Fund Managers Directive (AIFMD) affects managers of alternative investment funds (AIF hedge funds, private equity funds...
AML - Anti-Money Laundering
Eureka Financial
850 GBP
London
This course is designed to support an effective AML compliance program through sound risk management. Participants receive guidance on risk...
AML Risk Based Approach and CDD Workshop
CCL Academy
495 GBP
London
This course will assist firms in developing a risk based approach to their AML/CDD in order to comply with the regulations. Taught...
Anti-Money Laundering Awareness Training
CCL Academy
299 GBP
Multiple (2)
This Anti Money Laundering Awareness Training course is designed to equip staff with little or no previous training in the UK AML...
Anti-Money Laundering Awareness Training
CCL Academy
2,000 AED
Dubai
With all regulated firms required to have appropriate tools and procedures to combat money laundering, this Anti Money Laundering Awareness...
Anti-Money Laundering, Financial Crime and Sanctions Forum
Infoline
2,497 GBP
London
This conference is the premier event for financial crime and sanctions professionals. Included alongside the conference is an interactive workshop on...
Association of Taxation Technicians (ATT) Exam Training
Tolley
Multiple (8)
The ATT (Association of Taxation Technicians) offers six free standing written papers which can be sat in May and November...
Bank Capital Adequacy Under Basel III
Answerformula
1,860 EUR
Porto
The main objective of this two day workshop is to provide participants with an understanding of how capital is regulated...
Bank Regulation: Impact and Implications of Evolving Regimes
Moody's Analytics
1,200 GBP
Multiple (4)
The financial crisis and the widespread bank failures that followed have resulted in notable changes to bank regulation, which has...
Behavioural Economics
FSTP
         
(6)
595 GBP
London
Complex financial products can be difficult for people to understand – which increases the likelihood of poor decision making. Behavioural...
Best Execution - meeting FCA expectations
Corporate Training Partnerships
395 GBP
London
The FCA rules, guidance and ‘standards’ for Best Execution have been in place since the introduction of MiFID seven years...
CASS - Managing Client Money and Assets
Eureka Financial
695 GBP
London
The main objective of the CASS regulation is to provide adeqate protection for clients. The FCA set up high expectations...
CASS Client Asset Requirements
Corporate Training Partnerships
395 GBP
Multiple (2)
The FCA has now published its much awaited new rules on the protection of client assets and money for investment...
CASS Operational Oversight
CCL Academy
299 GBP
Multiple (2)
A firm must arrange adequate protection for clients' assets when it is responsible for them. Principle 10 of the regulator’s...
Certification in Control Self-Assessment
LEORON Professional Development Institute
Riyadh
Through this intensive five day course participants will learn how to introduce and monitor an effective control self assessment (CSA)...
Certified Compliance Professional
LEORON Professional Development Institute
Multiple (2)
Through this comprehensive five day course participants will gain the required skills and knowledge needed to successfully develop their careers...
Certified Corporate Compliance Specialist (CCCS)™
Ethan Hathaway
1,890 USD
Multiple (8)
This training gives you the building blocks needed to be an effective Corporate Compliance professional....
Certified Information Systems Auditor
LEORON Professional Development Institute
4,190 GBP
Multiple (3)
Through this comprehensive five day course participants will gain the reputable Certified information systems auditor (CISA) certification, and develop their careers...
CISI - Global Financial Compliance
Risk Reward Limited
1,395 GBP
Multiple (2)
This globally portable qualification will provide you with a broad understanding of the compliance issues that arise within the financial...
CISI - Regulation & Compliance
Risk Reward Limited
2,495 GBP
London
The Diploma in Investment Compliance is a global qualification that offers a clear career pathway for compliance specialists and practitioners....
CISI - Risk in Financial Services
Risk Reward Limited
1,395 GBP
Multiple (2)
This comprehensive introductory qualification addresses the key techniques in identifying, reducing and managing certain risk areas in Financial Services sector...
CISI - UK Financial Regulations
Risk Reward Limited
1,050 GBP
London
This fundamental qualification underpins the key regulations in the UK’s Financial Sector from the broad perspective of the regulatory environment...
CISI Regulation & Compliance
Fitch Learning
620 GBP
London
This course forms a part of the CISI Diploma in Investment Compliance. The 7 days instructor led classroom lectures take place over...
COBIT 5
LEORON Professional Development Institute
Multiple (3)
This course from Leoron is designed to teach participants the latest updates to ISACA's COBIT®, the newest version of thinking in...
Company Secretary Programme
Euromoney Learning Solutions - Financial Training
3,995 GBP
Multiple (4)
This Company Secretary Programme is designed for Directors, and anyone who is directly involved in board information preparation or board support,...
Complaint Handling under DISP
Corporate Training Partnerships
595 GBP
Multiple (2)
The Financial Conduct Authority's complaint rules (DISP) are fiddly, easy to break and regularly changing (having undergone significant revisions in...
Complaints Handling
FSTP
595 GBP
London
The FCA expects you to treat your customers fairly. Which means you must have a straightforward, transparent and fair complaints...
Compliance Basics Programme
Searchlight
280 GBP
Distance
This Compliance Basics training programme is offered as an e learning course from Searchlight. This online programme has been designed...
Compliance in the Public Sector
SR Supply Chain Consultants
199 GBP
Preston
Designed for procurement professionals operating in the public sector, this Compliance in the Public Sector course takes a comprehensive look at...
Conduct Risk Learning Programme
CII - The Chartered Insurance Institute
250 GBP
Multiple (2)
This is a practical training programme helps participants develop an understanding of the key drivers behind conduct risk and the...
Conduct Risk Learning Programme
CII - The Chartered Insurance Institute
Nationwide
This is a practical training programme helps participants develop an understanding of the key drivers behind conduct risk and the...
Consultative Selling Skills
Euromoney Learning Solutions - Financial Training
Nationwide
This course is designed for financiers and bankers who wish to increase revenues for their employer without compromising their integrity....
Contract Management and Formulation
London Training for Excellence
2,515 GBP
Multiple (13)
Objectives By the end of this program the participant will be able to: Understand the role and scope of the...
Corporation Tax Refresher and Update
Kaplan Hawksmere
Nationwide
This Corporation Tax Refresher course provides participants with an overview of the latest developments in the field of corporation tax...
Creating and Managing Compliance
Zoe Talent Solutions
2,997 USD
Multiple (5)
The training program specialises in the key factors of compliance necessary for organisations to prevent fraud and minimise risks. The...
Culture & Ethics
FSTP
         
(1)
295 GBP
London
The reputation (and revenues) of your business depends on your approach to culture and conduct risk. Large scale conduct scandals...
Demonstrating & Evidencing Suitability
FSTP
595 GBP
London
The FCA’s recent suitability review flagged a number of issues. Among the most common are hidden fees, and investment portfolios...
Digital Media under the FCA
Corporate Training Partnerships
495 GBP
Multiple (2)
The new and ever changing world of digital media offers tremendous opportunities and significant risks to financial services organisations, and...
Directors Guide to Surviving an FCA/PRA visit
FSTP
         
(1)
295 GBP
London
The regulator is about to knock on your door. Your firm and your senior team will likely come under intense...
Do you have the right culture?
Corporate Training Partnerships
425 GBP
London
This focused and practical half day workshop is designed to help those responsible for establishing or influencing culture in financial...
Effective Compliance Monitoring
CCL Academy
495 GBP
London
Despite the regulator's current focus on ensuring that senior managers fulfil their responsibilities, the need for the compliance function to...
Effective Report Writing
FSTP
595 GBP
London
The financial industry is awash with poorly written reports. No doubt you’ve read the bad ones before: they’re dull, ambiguous...
Effective Written Communication for Compliance, Audit & Risk Professionals
Corporate Training Partnerships
595 GBP
Multiple (2)
This highly practical training course enables professionals in Compliance, Audit or Risk Management roles to recognise and apply written communication...
Effective Written Communications for Compliance, Risk and Internal Audit Professionals
European Institute of Management and Finance (EIMF)
250 EUR
Limassol
Through this intensive and highly practical one day course professionals in compliance, risk and audit roles will learn to improve...
Ensuring Your Audit Committee is Effective
FSTP
         
(4)
295 GBP
London
More is expected of audit committees today than ever before. We’ll help you better understand your responsibilities, manage risk and...
  • = Has a case study
  • = Has a video
  • = This course results in CPD hours
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More about Compliance & Regulatory

Training and courses in Compliance & Regulatorycompliance and regulatory training courses

Companies must comply to a number of rules and regulations, known as Regulatory Compliance, which ensures financial activity in the markets is fair, transparent and robust. Particularly when selling financial services such as shares, insurance products or other financial products to private individuals, must financial institutions abide to regulatory and compliance laws. 

Corporations or public agencies also aspire to regulatory compliance goals to ensure they comply with relevant laws and regulations. Compliance and regulatory professionals benefit from training and courses that are practical and interactive. Courses range from those that are beginner level and introduce the compliance role, through to explaining its importance, to those that outline the key responsibilities and finally set compliance within the context of other risk control functions.

The role of compliance in modern financial services businesses is generally outlined in training courses - which also identify the key risks faced by differing types of financial institution and  illustrate how the challenges a compliance function faces can be overcome. 

    Finance training and financial coursescompliance training courses

    Financial training courses are designed for delegates in the areas of business finance, personal finance and public finance. Training in the field of finance varies from courses designed for the financial services industry as banks, brokers, and companies' finance departments.

    regulatory and compliance training courses Training courses in Financial Analysis

    Accountancy training courses in accounting and book-keeping

    Training and courses in accounting and book-keeping help book keepers and accountants, both independent and those within companies to document the company's resources, compare the financial results with competitors, and interpretate comparability over time. Courses and training build skills throughout an employees career.

    accounting and book keeping training courses Training courses in accounting and book-keeping

    Payroll and taxes training and courses

    Payroll and taxes training courses are imperative to businesses, to keep delegates up to date on how to calculate and correct salary, manage payroll conversion, parental leave, sick leave, holiday allowances, various forms of benefit, control, and more. Payroll administrators benefit from training to stay up-to-date with labour laws and relevant legislation on personal data.

    payroll and taxes training courses Training courses in Payroll and Taxes

    Financial Analysis training and courses

    Financial analysis training courses generally cover areas such as the assessment of the viability, stability and profitability of a business, sub-business or project, as well as economic indicators that impact on the efficiency of a business, consumer satisfaction, and more to help businesses stay successful.

    financial analysis training and coursesFinancial analysis training courses

    Financial Management training and coursesregulatory training courses

    Training courses for a better understanding of financial management are often aimed at financial managers and those responsible for the daily operation of a finance department. Course content often includes the financial statements, accounting, payroll, reconciliations, supplier and customer invoices, calculation, planning and monitoring. Training and courses also cover the basic business law contracts, claims and sales laws and train financial management personnel with required personal qualities.

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    management training courses Management development training courses

    Investment Banking training courses

    Investment banking training courses are relevant for many areas within banks and financial departments of companies. Training and courses for investment banking professionals cover areas such as merchant banking, corporate finance, or capital markets. Training programmes also ensure that investment bankers develop particular qualities of flexibility, innovativeness and client handling skills.

    banking and investment training courses Banking and Investment training courses

    Credit Control training and coursescompliance and regulatory training courses

    Credit control training courses are vital to those that work in credit control and are also essential parts of any business' accounting procedures. Courses help delegates understand how to maintain a consistent cash flow, avoid bad debt and minimise late payments are all essential skills for survival. Credit control training usually covers areas such as cash flow management, outsourced credit control, sales ledger management, credit control software, debt recovery and direct debit management.

    credit control training courses Credit control training courses

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