As well as bringing you up to date on the provisions of supervisory law applicable to banks and financial intermediaries, the Compliance Professional Finance course will also give you some useful tools and overviews that will benefit your day-to-day work.
The course covers the basics of all legal and regulatory issues that compliance experts at financial institutions have to deal with. The learning resources are sent out in advance before being explored in greater depth in the classroom. The content is taught in a way that makes it relevant to practical application, focusing on the applicable laws and regulations. Participants gain familiarity with the underlying legal framework in its overall context and can apply it to their day-to-day work. Experienced industry experts are on hand to help with each module.
The course is primarily geared towards:
Legal and compliance professionals working in the financial sector (banking, securities trading, asset and wealth management).
Professionals working in operations, IT, advisory, risk and finance who deal with regulatory issues or manage projects.
Other bank staff (management, relationship managers for private and institutional clients, etc.)