Course Category: COMPLIANCE LEVEL ONE

Courses that form part of achieving Level One

Compliance Level One – Policies

It is important that the compliance team have a strong understanding of regulatory and risk requirements. This course will ensure members of the compliance team have a robust understanding of the company’s¬†compliance policies, risk management¬†and the FCA requirements.

Compliance Level One – Process

The day to day work of the Compliance Team is varied and includes risk assessments when recruiting, training regulatory requirements and monitoring the compliance effectiveness. This course will ensure compliance team members are equipped with the knowledge they need to recruit, train and monitor effectively.