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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 aimed for: Anyone currently or considering becoming a Compliance Officer.
Duration: Full day
Location: Cordium offices
Cost: £649 + VAT per delegate
Maximum numbers: 12This 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.
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