Preparing Yourself for Senior Compliance Responsibilities - A Guide For FCA Authorised Firms

Introduction

This new full day course is aimed at those who are seeking to become authorised by the FCA for senior compliance roles.

The course will prepare you for your senior compliance responsibilities so that you feel confident in your scope of knowledge, skills and behaviours to perform your roles at a competent level.

It will also inform you on how to maintain and enhance your competence over the longer term, subsequently applying the learning in your workplace for client and business benefit and will include examples of strong and weak compliance oversight within FCA authorised firms.

What You Will Learn

This course will cover the following:

• Familiarisation with the senior compliance role and application of the FCA’s expectations for the good governance and positive culture of the business
• Familiarisation with key, relevant FCA rules via its handbooks and sourcebooks, guidance and future initiatives
• Learn and apply knowledge of the relevant areas of compliance to your own business and client needs
• Learn how to design and implement a robust compliance framework that will benefit your business and feed relevant, qualitative information to the senior management
• Learn how to remain up to date with FCA requirements