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Compliance Officer: The Role and Responsibilities

20 Dec 2017 09:30 - 16:30
Cordium UK offices
130 Jermyn Street, London, SW1Y 4UR
Training & Workshops, Compliance, Risk, Regulation
Banking, General Insurance, Legal, Pensions, Securities & Investment, Wealth Management

This course can be delivered onsite or as an instructor lead course at a firm’s office. If you would like to discuss your training requirements in more detail please contact Graham Dix on 020 7484 3987 or your usual Cordium consultant.


The role of the Compliance Officer (CO) is a mandatory position in all firms in the Financial Services Industry. The CO plays a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a CO and explains, in practical terms, how the regulatory expectations and those of Senior management can be achieved.

Course Objectives:

  • A sound knowledge of what is expected of a Compliance Officer and why;
  • Practical ways to meet the expectations;
  • An understanding of the importance of the Compliance Monitoring Plan; and
  • An opportunity to benchmark your knowledge and current compliance arrangements.

Key Topic:

  • Responsibilities of Senior Management for Compliance
  • The CO’s  principal tasks & skill sets
  • Getting the basics right
  • The independence of the role
  • Understanding and meeting expectations
  • Embedding the compliance culture
  • The Compliance Monitoring Programme (CMP)
  • Compliance Monitoring Methodology
  • Think about opportunities for adding value
  • Managing visits from the Regulator(s)
  • Examples of what can go wrong: messages for the CO

Course aimed for: Anyone currently or considering becoming a Compliance Officer.

Duration: Full day

Location: Cordium offices

Cost: £649 + VAT per delegate

Maximum numbers: 12
This course can also be delivered as an onsite course or as an instructor lead course at a firm’s office.

To discuss your training requirements in more detail please contact Hannah Shirer on 0207 408 2448 or your usual Cordium contact.

7 Points
Cordium - Education and Training
130 Jermyn Street, London, SW1Y 4UR, United Kingdom.

Tel: +44 (0) 20 7691 9722
Contact: Graham Dix. Manager Training Solutions