Online courses

The Art of Compliance


Description
This course is designed to provide learners with wider knowledge of the role delivered by experienced compliance professionals, and to teach the practical skills needed to successfully fulfil that role – skills that can’t be learnt from a textbook, but will be relevant and useful in a real working environment.

Modules:
- The Advice Journey
- Compliance Fundamentals
- Risk Assessment & Management
- SM&CR
- Portfolio's
- PROD & Platform Due Diligence
- File Reviews
- The Regulator
- Supervision, Training and Competency

What you’ll learn
- A firm’s responsibilities in ensuring they comply with legislation
- How to work with clients, track cases and ensure efficiency
- How investment markets work
- About software that supports the financial advice process
- What a good file review contains
- How to apply FCA principles
- How to conduct a Training and Needs Analysis

Suitable for:
This programme is suitable for those looking to persue, or progress, their career in a compliance role within a financial planning firm.
Whether you are brand new to the world of compliance in financial services, or have been in the role for a number of years and want to refresh your skills, this course will provide you with the knowledge required to do your job.

It covers the most recent legislation (handy, given how much has changed in the last couple of years!) as well as practical training for dealing with the FCA and using their systems, making it relevant for anyone with an interest in compliance.

Accreditation:
The whole course requires completing, along with the end of course assessment. This has a minimum pass mark of 65% to be achieved in order to successfully pass the course. Upon completion of this course, you will be recognised as having attained The Art of Compliance training course, from The Art of Finance.

Certification
In addition, all of our content has been CPD Certified, meaning that all your time and investment is nationally recognised. Upon completion of your course, you’ll be sent your Art of Finance kitemark and CPD certificate to acknowledge your successful skills training and evidence for your firm’s compliance.


20% VAT is included in the price of this course.
Content
  • 1. The Advice Journey.
  • 2. Compliance Fundamentals.
  • 3. Risk Assessment & Management.
  • 4. SM&CR.
  • 5. Portfolio's.
  • 6. PROD & Platform Due Diligence.
  • 7. File Reviews.
  • 8. The Regulator.
  • 9. Supervision, Training & Competancy.
Completion rules
  • All units must be completed
  • Leads to a certification with a duration: Forever