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What you'll learn

  • By the end of this course, you will be able to:
  • Identify and understand the roles and responsibilities of major regulatory bodies like the FCA and PRA.
  • Explain key compliance rules, including AML and data protection requirements under UK GDPR.
  • Analyze the consequences of non-compliance, drawing insights from real-world case studies such as HSBC.
  • Evaluate the impact of new technologies and regulatory changes on financial compliance frameworks post-Brexit.
  • Develop strategies for maintaining compliance within the evolving regulatory environment.

Who is this course for

  • Financial professionals and compliance officers seeking to enhance their understanding of the UK regulatory framework.
  • Risk management and legal professionals who need to stay current with compliance requirements and best practices.
  • Banking and investment sector employees aiming to improve their operational and strategic decision-making.
  • Aspiring compliance specialists and students interested in pursuing a career in financial regulation and compliance.

Course content

  • Mastering Financial Compliance

Requirements

  • Basic understanding of financial services is recommended but not required.
  • Familiarity with general business practices or prior exposure to finance, risk management, or regulatory environments will be beneficial.
  • A keen interest in learning about the evolving landscape of financial compliance in a post-Brexit context is essential.
  • Access to Microsoft Excel or similar tools for analyzing case studies and regulatory data is recommended.
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