Financial Services - Basics of Regulation & Compliance
What you'll 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
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
Description
Financial Services - Basics of Regulation & Compliance is a comprehensive introduction to the ever more important Regulatory/Compliance aspects of Financial Services.
In the financial services landscape, regulation and compliance are more critical than ever.
This course, "Financial Services – Basics of Regulation & Compliance" course is designed to provide professionals, students, and financial enthusiasts with comprehensive understanding of the rules, frameworks, and ethical principles governing global financial systems.
This course demystifies the complexities of compliance, offering insights into regulatory bodies, key legislation, risk management practices, and cutting-edge technology shaping compliance functions.
Through practical case studies, real-world examples, and a globally informed curriculum, learners will explore anti-money laundering practices, market abuse regulations, risk management, internal controls, reserves ratio requirements, data protection laws like GDPR, and the role of RegTech in compliance tasks.
Learners will also delve into the cultural and ethical aspects of compliance, understanding how a strong compliance culture can protect firms from financial and reputational harm.
Whether you're new to the industry or looking to deepen your knowledge, this course equips you with essential tools to navigate financial services with confidence and integrity.
This course is recommended for everyone working (or interested) in the financial services sector, including: Compliance Officers, Risk Managers, Investment Bankers, Financial Analysts, Internal Auditors, Legal Advisors, Accountants, Finance Students, Operations Managers, Entrepreneurs, Insurance Professionals, AML Analysts, KYC Specialists, Treasury Professionals, Fund Managers, Regulatory Consultants, Financial Advisors, Ethics Officers, Project Managers in Finance, FinTech Professionals and many more.
I know this course will be an asset to you, your profession and organization.
best regards,
Baba Oyewole FCCA
Who this course is 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
Instructor
- 4.5 Instructor Rating
- 11,705 Reviews
- 181,493 Students
- 44 Courses
1). Strategic partnerships expert.
2). Financial Services: Global Fund Flow, CFO (C-Suite) Support, Financial Considerations etc
3). Business, Financial, Start Up, Small Business, Workplace Environment Education:
- Everything about your business: from management challenges, needing guidance and coaching to identifying opportunities, changes in your industry or in the wider world you can take advantage of, tax, product development, marketing staffing etc.
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- Finance: Financial accounting made easy, financial control, ratios, technical accounting, management accounting and many more
4). Leadership, Management Education and Consulting.
5). Workplace Productivity Considerations
6). Mindset related Mentor, Teacher, Coach and Publisher.
Skills: Small business coaching, structuring, funding · Strategic Partnerships · Business Strategy · Leadership · Finance, Accounting etc