Unlock Your Financial Acumen: Master Regulation & Compliance in Financial Services

In today’s rapidly evolving financial landscape, understanding regulation and compliance is of paramount importance. The course “Financial Services – Basics of Regulation & Compliance” provides a thorough introduction to the core principles that underpin the regulatory environment. Geared towards professionals and enthusiasts alike, this course breaks down complex regulatory frameworks, offering clarity on key legislation and ethical guidelines that govern the global financial system.

Throughout the course, participants will engage with real-world examples and practical case studies to grasp the significance of compliance. Topics covered include anti-money laundering practices, market abuse regulations, and the latest technological advancements in regulatory compliance (RegTech). With a focus on creating a culture of integrity within organizations, learners will discover the vital role that ethics plays in financial services, ensuring they are prepared to navigate any regulatory challenges.

Whether you’re starting your career or looking to enhance your expertise, this course is an invaluable resource. It equips you with essential tools and knowledge to operate confidently in the financial services sector. Join us to dive deep into the world of regulation and compliance, and position yourself as a trusted professional in the field.

What you will learn:

Purpose of financial regulation
Role of global regulatory bodies
Key legislation and their impact
AML, KYC and CTF principles among many others
Importance of customer due diligence
Regulatory Environment
Ethics and Compliance Culture
Risk management strategies
Use of RegTech in compliance
Ethical leadership and culture
Data protection in financial services
Consequences of non-compliance

Course Content:

Sections: 12 sections
Lectures: 28 lectures
Duration: 1h 36m total length

Requirements:

Basic understanding of financial systems or services
Interest in financial services sector, financial regulation and ethics
Ability to read and interpret financial news and documents
Familiarity and Interest with current events in finance
Interest in financial news and documents
Willingness to learning
Access and knowledge of basic computer usage

Who is it for?

Compliance Officers
Risk Managers
Financial Controllers
Regulatory Officers and Officials
Investment bankers
Banking professionals
Financial Analysts
AML Analysts
Internal Auditors
External Auditors
KYC Specialists
Legal Advisors
Accountants
Management Consultants
Finance Students
Operations Managers
Insurance Professionals
Entrepreneurs
Treasury Professionals
Fund Managers
Financial Advisors
Regulatory Consultants
Ethics Officers
Learning and Development Professionals
Project Managers in Finance
FinTech Professionals

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