Compliance Officer Course
Strategi Institute has developed a compliance officer course specifically tailored for financial advice provider (FAP) compliance officers/managers.
The focus of this course is on understanding the obligations relating to relevant legislation, regulation and codes and building a compliance assurance programme proportional to the business size.
FAP compliance officer overview
- Who should be your in-house compliance officer? What skills and experience should they have?
- What a typical FAP compliance officer job description would look like.
- Understanding the entire risk and compliance space with regards to a FAP and meeting your licence requirements.
- What is required for a meaningful governance risk and compliance framework including what is a compliance assurance programme and how to make it work.
- Understanding the three layers of defence and who does what.
- Bringing about culture change and how to motivate your staff to be compliant.
- What is good conduct, how do you demonstrate it and how do you report it?
- What is the process for becoming a FAP, what are the timeframes and what do you need to do to ensure your business meets those?
- Tips for using technology to potentially simplify the compliance officer role, improve board reporting and reduce external compliance assurance costs.
- What is the Goldilocks AML/CFT audit solution and how to fully integrate AML/CFT obligations into your compliance assurance programme.
Feature
Online
Distance
Online facilitated
Classroom
Online manual
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Printed manual
X
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Self-directed learning
✓
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Facilitator-led learning
X
X
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Online chat support
✓
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Phone support
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Email support
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Assessor support
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Q&A sessions
X
X
✓
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Facilitator support
X
X
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Student peer support
X
X
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