A compliance officer training programme, designed to provide senior support staff and compliance personnel with the tools they need, has been launched by Compliance Refinery.
The year-long programme includes 10 monthly one-hour group training sessions that focus on the technical aspects, responsibilities, and knowledge of a compliance officer. Each session also includes a case study.
The course also includes 11 individual one-hour real-world coaching sessions on issues specific to your business.
In addition, the course covers:
- Setting the scene: being an effective compliance officer
- FAP standard conditions
- FAP licensing guide
- The code of professional conduct
- The purpose of conduct
- Three lines of defence and common compliance structures
- Compliance assurance and testing, and reporting to the board
- Six step advice process and file reviews
- Marketing and advertising; vulnerable customers
- How to maintain a licence
The firm’s CEO Steven Burgess says that with ex-compliance officers on the staff, they will know the ins and outs of the roles and how important it is to get things right.
He says: “We hear from businesses owner who ask ‘what if we invest in staff and they leave’, but the risk lies in staff not being trained.
“Our tools and templates provide assistance to businesses to increase professionalism, provide more value to directors, and create the small efficiencies in the business that can offset the increased costs of the new regime.”
Find out more at Compliance Refinery.