Skills Certificate

Skills Cert in Financial Services Compliance Essentials

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  • Duration
  • 15 - 20 hours
  • Programme
  • Skills Certificate
  • Study
  • Online
  • Fees
  • €125
  • Level
  • Non-accredited
  • At a glance

    The Skills Certificate in Financial Services Compliance Essentials introduces you to the role of compliance in the international financial services industry. It describes the regulatory environment in which the financial services firms operate. It introduces you to governance and compliance frameworks, and is an introduction to how some aspects of compliance are managed such as data protection and Anti Money Laundering activities. The emphasis will be on providing you with the knowledge and practical skills which you can apply in your day-to-day job role.

    On successful completion of the Skills Certificate in Financial Services Compliance Essentials, you will be able to:

    • Describe the domestic and international regulatory environment in which financial services firms operate.

    • Understand the role of compliance and where the compliance function fits within a financial services organisation

    • Outline the regulations in relation to data protection, and financial crime in financial services

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    Topics include:
    • International Financial Services Regulation

    • Types of regulated entities

    • Governance, Risk and Compliance framework

    • Three lines of defence - where compliance sits within the organisation

    • Consumer protection – conduct standards and conduct risk

    • Fitness & Probity, Minimum Competency Code, SEAR and IAF

    • Ethics - Foundations of Ethics

    • Culture and speaking up

    • Role of Compliance Officer

    • Effective Compliance Management Framework

    • Compliance processes and controls

    • Anti-Money Laundering (AML) and Countering the Financing of Terrorism (CFT) including Sanctions

    • Data protection

    • Emerging topics

    • Purpose and management of a Regulatory Inspection

    Continuous Professional Development (CPD)

    • 4 hours MCC (All Cats) - (of which 0.5 hrs is Ethics)

    • 4 hours CFRCP/ CFSCP / LCI, FCI - (of which 0.5 hrs is Ethics)

    • 3 hours WMP / RPP - (of which 0.5 hrs is Ethics)

    • 1.5 hours CECA / FCI Ethics / PB / CB / CBD / CIFD - (of which 0.5 hrs is Ethics)

    • 1 hour CDPO / CFCP - (of which 0.5 hrs is Ethics)

    • 0.5 hours Ethics for RRP / PIP

    Assessment

    • The assessment is a 45 multiple choice question (MCQ) exam.

    • Students also complete a short quiz to reinforce learning after each topic.

    Duration and Delivery

    This Skills Certificate is self paced and should take between 15 and 20 hours to complete. Delivery is online.

    Fee

    €125

    How to register

    Please click on the 'Enrol now' button in the top right hand corner.

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