COMPLIANCE IN THE FINANCIAL INDUSTRY

In this course we will discuss the role and day-to-day activities of the compliance function, the skills required for effective compliance officers, as well as the challenges and opportunities of the compliance function. In today’s world, any professional in the financial industry having a good understanding of this critical function will have an edge in a competitive and demanding environment. Key concepts that will be discussed are: the Three Lines of Defense, Conduct Risk, Regulatory Risk vs. Conduct Risk, Role and activities of the Compliance function, Regulatory Management Compliance, Trade Surveillance, Communications Monitoring, Risk Assessment, Compliance Review, Personal Account Dealing, Employee Licensing, Transaction Reporting, Compliance Policy, Investment Guidelines Compliance, Shareholder Reporting, Financial Crime Compliance, Banking Secrecy, Cross-border Compliance, Whistleblowing, Ethics, Culture, and Compliance, Opportunities & Challenges, Big Data & Technology, and Independence among others.