The Compliance Officer Refresher
Overview
Individuals holding the Compliance Oversight function in an authorised firm need to ensure that they maintain up-to-date knowledge of the FCA regulatory regime, including the regulator’s current priorities.
Whilst this can be a challenge for any Compliance Officer, it can be particularly difficult for those in smaller firms, who may be juggling multiple roles within the business.
This half-day workshop is intended to give Compliance Officers, and others holding compliance responsibilities within their firm, an opportunity to refresh their knowledge of key compliance topics. In particular, it will provide an update on the FCA’s expectations for compliance, as well as outlining the regulator’s current priorities.
It will also provide an opportunity for participants to evaluate their approach to risk assessment and compliance monitoring. The workshop will conclude by exploring the impact of upcoming regulatory developments, including the FCA’s new Consumer Duty.
Who is this for?
The course is particularly suitable for those holding the Compliance Oversight function within their firm but will also be of benefit to anyone wishing to update or refresh their compliance knowledge.
Learning Outcomes
At the end of the workshop, participants will:
- Have updated their knowledge of the principal obligations of the compliance function within an authorised firm
- Know the FCA’s current priorities and have considered their potential impact on firms
- Understand the significance of compliance risk assessment, and its impact on compliance monitoring
- Have an awareness of upcoming regulatory developments, including the SM&CR
Course Details
- The regulator’s expectations for compliance
- FCA priorities – what are the regulator’s concerns about your business?
- The evolving nature of compliance risk
- Challenges of compliance monitoring
- The impact of the SM&CR
- Major regulatory developments – what’s on the horizon?
Delivery
All of CCL Academy’s public courses are delivered virtually using Zoom.
Firms with more than 5 staff to train have the flexibility to deliver training in-person by one of our trainers at your premises, or virtually via Zoom, Teams or Webex.
Find out more about your Virtual or In-Person training experience below.
Virtual Delivery
Our virtual training courses are designed to be every bit as engaging as our in-person courses. To achieve this, our trainers use market-leading technology and a range of training techniques to ensure high levels of interaction with participants. Courses include the use of:
- Virtual ‘break-out’ rooms: participants are divided into virtual rooms to facilitate small group discussion.
- Polling: multiple-choice questions, answered anonymously, allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to highlight the practical application of theoretical knowledge.
- Messaging: participants can submit questions and comments, either to the whole group or privately to the trainer.
Additional Benefits:
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Recording: public course participants have the option to access a recording of the course for one month after the course. In-House clients also have the option to record their training for an additional fee.
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On-going Q&A: public course participants can access an ongoing Q&A facility allowing them to ask questions relating to the course.
In-Person Delivery
Our in-person training is delivered face to face at your offices, and includes:
- ‘In-the-moment’ questions & discussions: questions through conversations allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to explore practical application of theoretical knowledge.
- Q&A: participants can ask questions during training, either to the whole group or privately to the trainer.
