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Certificate in Practical Aspects of the Compliance Function

London Governance and Compliance Academy
Course summary
5 hours
87.50 GBP excl. VAT
English
Flexible
Online courses
Next available date: Flexible - Online courses

Course description

Certificate in Practical Aspects of the Compliance Function

This course offers a practical review of the compliance function. It addresses the roles, responsibilities and mission of the compliance officer, the areas covered by the compliance unit and the tools and methodologies that facilitate the compliance officer’s daily work. It provides a sound grounding in the principles of compliance for investment firms and banking institutions. It extensively covers the regulatory provisions for operating a legally compliant firm.

Suitability - Who should attend?

This course is ideal for anyone wishing to be introduced to the compliance function, the compliance officer’s roles and responsibilities and the respective regulatory requirements for investment firms and banking institutions. It is also suitable to professionals pursuing regulatory CPD in Financial Regulation (such as the FCA etc).

Course delivery details

Training Method

The course is offered fully online using a self-paced approach. The learning units consist of video presentations and reading material. Learners may start, stop and resume their training at any time.
At the end of each session, participants take a Quiz to complete their learning unit and earn a Certificate of Completion once all quizzes have been passed successfully.

Accreditation and CPD Recognition

This programme has been developed by the London Governance and Compliance Academy (LGCA), a UK-recognised training institution.

The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for 5 CPD Units that approve education in financial regulation, such as the FCA and other financial regulators. The course may be also approved for up to 5 CPD Units by institutions that approve general financial training, such as the CISI.

Eligibility criteria and CPD Units are verified directly by your association or other bodies to which you hold membership.

About provider

London Governance and Compliance Academy

LGCA is a multi-accredited UK learning provider focused on, among other, the areas of governance, risk, compliance and cybersecurity. Our business is financial education, and we are passionate and committed to your personal and professional development in financial services. LGCA...


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London Governance and Compliance Academy

34 Lime Street
EC3M 7AT London

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