Compliance Training

Training is an essential part of every organization’s efforts to build an effective compliance culture. Regulators explicitly require training, and seek evidence of training as part of their regular reviews. In addition, organizations often require specialist training as they move into new businesses or change the way they are operating in existing ones.

Cordium offers two types of compliance training:

  • In-house Training – This training is conducted at your office or chosen location at a time or date convenient for you. Courses can be tailored to meet your learning objectives and the content developed to meet your specific requirements.
  • Open Public Training – These courses are scheduled throughout the year to take place at Cordium’s offices. This great networking opportunity enables individuals to connect with those from other firms and it allows firms to book individuals on courses whenever the need arises. Click below to view all our current offerings.

Note: Cordium provides discounted rates for multiple bookings of all training course types. If you have any questions or comments, please contact us.

8th January 2018 – GDPR and the Role of the Data Protection Officer

Time: 9:30am to 12:30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London SW1Y 4UR

Course Overview:

Data security and protection are now at the fore-front of the fight to prevent both fraud and regulatory censure for lax controls over customer data. Latest statistics indicate that UK business is facing an annual £98.6 billion fraud bill. Instances of white collar crime are on the rise, evidenced by the huge rise in cybercrime and cyber-enabled fraud. Seven out of ten frauds involve some kind of technology. Prosecutions have trebled over the last three years, with a 200% increase in the number charged with “cyber” offences.

Learn more/ Register

9th January 2018 - Financial Crime Prevention

Time: 9.30am to 12.30pm

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

Fraud is often referred to as the “forgotten risk” yet official statistics indicate that £85 billion per year is lost to fraud and instances of white collar crime is on the rise.

Learn more/ Register

10th January - Anti-Money Laundering Awareness

Time: 1.30pm to 3.30pm

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

Under Regulation 24 of the Money Laundering Regulations 2017 (MLR) senior management must ensure that immediately on joining the firm employees at all levels of seniority receive training in AML. In addition refresher training must also be provided at a frequency determined by the firm’s AML risk assessment.

LEARN MORE/REGISTER

11th January 2018 – Money Laundering Reporting Officer: The Role and Responsibilities

Time: 9.30am to 4.30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Background:

The role of the Money Laundering Reporting Officer  (MLRO)  is a mandatory position in all firms in the Financial Services Industry.

LEARN MORE/REGISTER

12th January 2018 – Compliance Induction

Time: 9:30am to 4:30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Background

It is essential that everyone in a wholesale financial services firm has sufficient knowledge and understanding of the regulatory obligations which arise in the context of the firm’s activities.  To have limited, or no knowledge or understanding,  could have serious consequences. Senior Managers also need to understand their compliance responsibilities in order that a suitable compliance infrastructure and culture is installed within the firm.

LEARN MORE/REGISTER

15th January 2018 – Money Laundering Reporting Officer: Writing the Annual Report to the Board

Time: 9.30am to 12:30pm

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Cost: £349 + VAT

Course Background:

The Money Laundering Reporting Officer (MLRO) is required to produce a report to the governing body of the firm at least once a year.

This report must include an opinion as to the effectiveness of the anti-money laundering systems and controls, together with other information that the MLRO needs to bring to the attention of the governing body. This requirement links with the obligation that the MLRO has as an Approved Person.

LEARN MORE/REGISTER

16th January 2018 – Market Abuse Regulation

Time: 1:30pm to 4:30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

On 3 July 2016, the new EU Market Abuse Regulation (MAR) came into effect, updating the Market Abuse Directive that has been in place since July 2005.

This course will provide you with an understanding of what the MAR means to your firm and employees. The course focuses on the move to the new rules and the practical application of systems and controls.

LEARN MORE/REGISTER

17th January 2018 - Financial Promotions: Rules and Application

Time: 1.30pm – 4.30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

The Regulator’s objectives include ensuring that firms operate in their client’s/customer’s best interest, including treating them fairly and communication with their clients in a clear, fair and not misleading way. Therefore, if you advertise your products and services in any way your firm is likely to be on the Regulator radar. This course is designed to explain, in a clear and practical way, what the rules are and what needs to be done to achieve and maintain compliance with them.

LEARN MORE/REGISTER

18th January 2018 – Compliance Officer: The Role and Responsibilities

Time: 9:30am to 4:30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Background

The role of the Compliance Officer (CO) is a mandatory position in all firms in the Financial Services industry. The CO plays a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules.

LEARN MORE/REGISTER

23rd January - Compliance Monitoring

Time: 9.30am – 12.30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London SW1Y 4UR

Course Overview:

Senior Management Arrangements, Systems and Controls in the regulator’s handbook sets out responsibility that a Compliance Officer has is to monitor, and on a regular basis, assess the adequacy and effectiveness of the measures and procedures put in place by senior management to ensure compliance with the relevant rules and regulations.

LEARN MORE/REGISTER

23rd January 2018 – Writing an Effective Compliance Report

Time: 1:30pm to 4:30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

One of the main responsibilities of the Compliance Officer is to provide management with an assessment of the firm’s systems and controls that have been put in place to achieve compliance with the applicable rules.

LEARN MORE/REGISTER

25th January 2018 – Senior Management Obligations in FCA Regulated Firms

Time: 9.30am to 11.30am

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Background:

The ever increasing focus by the Regulators on the accountability of Senior Management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them.

LEARN MORE/REGISTER

25th January 2018 – The Senior Managers and Certification Regime for Dual Regulated Firms

Duration: 2 hours

Time: 1:30pm to 3:30pm

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Cost: £299 + VAT

Course Overview:

Recent announcements about extending the scope of the Senior Management and Certification Regimes beyond banking will result in asset managers and other firms needing to become familiar with the new regulatory requirements.  This concise course gives an overview of the regimes and explores the issues which firms will need to address and resolve if they are to meet the new standards effectively.

LEARN MORE/REGISTER

30th January 2018 – Managing the FCA Visit and Avoiding Escalation

Time: 9:30am to 4:30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview: 

The FCA has tremendous, draconian powers that can do untold damage to your business. So how do you combat this when things go wrong?

We hope this never happens but when it does how prepared are you? This course is specifically designed to assist Senior Management to prepare for the visit and for that worst case scenario

LEARN MORE/REGISTER

1st February 2018 – Managing Capital Adequacy Risk

Time: 9:30am to 11:30am

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

The ever increasing focus by the Regulators on capital adequacy and the accountability of Senior Management, particularly when things go wrong, emphasises the importance of individuals in senior Management positions having a clear understanding:

  • of what is expected of them as holders of Significant Influence Functions,
  • of how the firm’s financial and regulatory reporting processes ensure compliance with the relevant obligations, and
  • at a level of detail appropriate to understand and challenge the work done by internal resources and/or outsourced service providers, of relevant prudential requirements and capital calculations.

LEARN MORE/REGISTER

2nd February 2018 - Compliance Induction

Time: 9:30am to 4:30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Background

It is essential that everyone in a wholesale financial services firm has sufficient knowledge and understanding of the regulatory obligations which arise in the context of the firm’s activities.  To have limited, or no knowledge or understanding,  could have serious consequences. Senior Managers also need to understand their compliance responsibilities in order that a suitable compliance infrastructure and culture is installed within the firm.

LEARN MORE/REGISTER

5th February 2018 - Financial Promotions

Time: 9.30am to 4.30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

The Regulator’s objectives include ensuring that firms operate in their client’s/customer’s best interest, including treating them fairly and communication with their clients in a clear, fair and not misleading way.

Therefore, if you advertise your products and services in any way your firm is likely to be on the Regulator radar.

LEARN MORE/REGISTER

7th February 2018 - Financial Crime Prevention

Time: 9.30am to 12.30pm

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

Under Regulation 24 of the Money Laundering Regulations 2017 (MLR) senior management must ensure that immediately on joining the firm employees at all levels of seniority receive training in AML. In addition refresher training must also be provided at a frequency determined by the firm’s AML risk assessment.

LEARN MORE/REGISTER

12th February 2018 – The FCA Code of Conduct Rules: Understanding and Complying with COCON

Time: 1.30pm to 3.30pm

Cost: £299 + VAT

Location: Cordium UK offices,130 Jermyn Street, London, SW1Y 4UR

Course Overview:  From 7 March 2017, the obligation to comply with the Code of Conduct rules will be expanded to include almost all staff involved in any form of regulated activity in organisations within the scope of the Senior Managers and Certification Regime (“SMCR”).

LEARN MORE/REGISTER

13th February 2018 - GDPR and the Role of the Data Protection Officer

Time: 9:30am to 12:30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London SW1Y 4UR

Course Overview:

Data security and protection are now at the fore-front of the fight to prevent both fraud and regulatory censure for lax controls over customer data. Latest statistics indicate that UK business is facing an annual £98.6 billion fraud bill. Instances of white collar crime are on the rise, evidenced by the huge rise in cybercrime and cyber-enabled fraud. Seven out of ten frauds involve some kind of technology. Prosecutions have trebled over the last three years, with a 200% increase in the number charged with “cyber” offences.

Learn more/ Register

13th February 2018 – Fraud Prevention: The Often ‘Forgotten Risk’

Time: 1:30pm – 4.30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Background:

The course is aimed at assisting firms to fully understand the fraud risk, the practicalities involved in mitigating this risk and providing advice on what to do if it happens.

LEARN MORE/REGISTER

15th February 2018 – Money Laundering Reporting Officer: The Role and Responsibilities

Time: 9.30am to 4.30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

The role of the Money Laundering Reporting Officer  (MLRO)  is a mandatory position in all firms in the Financial Services Industry.

LEARN MORE/REGISTER

16th February 2018 - Senior Management Obligations in FCA Regulated Firms

Time: 9.30am to 11.30am

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

The ever increasing focus by the Regulators on the accountability of Senior Management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them.

LEARN MORE/REGISTER

16th February 2018 – The Senior Management and Certification Regime

Duration: 2 hours

Time: 1:30pm to 3:30apm

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Cost: £299 + VAT

Course Overview:

Recent announcements about extending the scope of the Senior Management and Certification Regimes beyond banking will result in asset managers and other firms needing to become familiar with the new regulatory requirements.  This concise course gives an overview of the regimes and explores the issues which firms will need to address and resolve if they are to meet the new standards effectively.

LEARN MORE/REGISTER

20th February 2018 – Compliance Officer: The Role and Responsibilities

Time: 9:30am to 4:30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

The role of the Compliance Officer (CO) is a mandatory position in all firms in the Financial Services industry. The CO plays a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules.

LEARN MORE/REGISTER

21st February 2018 – Identifying and Managing Conflicts of Interest

Time: 1:30pm to 4:30pm

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

The FCA expects firms to take appropriate and effective steps to avoid conflicts of interest or, at least, manage them properly.

LEARN MORE/REGISTER

23rd February 2018 – Compliance Induction

Time: 9:30am to 4:30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

It is essential that everyone in a wholesale financial services firm has sufficient knowledge and understanding of the regulatory obligations which arise in the context of the firm’s activities.  To have limited, or no knowledge or understanding,  could have serious consequences. Senior Managers also need to understand their compliance responsibilities in order that a suitable compliance infrastructure and culture is installed within the firm.

LEARN MORE/REGISTER

1st March 2018 – Suitability and Appropriateness: Avoiding mis-selling

Time: 9.30am to 4.30pm

Location: Cordium UK offices, 130 Jermyn Street, London SW1Y 4UR

Cost: £649 + VAT

Course Background:

This is a very interactive one day course, designed to provide practical guidance to individuals involved in selling investment products to consumers.

LEARN MORE/REGISTER

2nd March 2018 – Managing the FCA visit and avoiding escalation

Time: 9:30am to 4:30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview: 

The FCA has tremendous, draconian powers that can do untold damage to your business. So how do you combat this when things go wrong?

We hope this never happens but when it does how prepared are you? This course is specifically designed to assist Senior Management to prepare for the visit and for that worst case scenario.

LEARN MORE/REGISTER

5th March 2018 – Financial Crime Prevention

Time: 9:30am to 12:30pm

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Background:

This course is specifically designed to assist Senior Management in meeting their obligations under Regulation 21 of the Money Laundering Regulations 2007 (MLR).

LEARN MORE/REGISTER

5th March 2018 – Anti-Money Laundering Awareness

Time: 1:30Pm to 3:30am

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

Under Regulation 24 of the Money Laundering Regulations 2017 (MLR) senior management must ensure that immediately on joining the firm employees at all levels of seniority receive training in AML. In addition refresher training must also be provided at a frequency determined by the firm’s AML risk assessment.

LEARN MORE/REGISTER

8th March 2018 – The Senior Managers and Certification Regime

Time: 9:30am to 11:30am

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Cost: £299 + VAT

Course Overview:

Recent announcements about extending the scope of the Senior Management and Certification Regimes beyond banking will result in asset managers and other firms needing to become familiar with the new regulatory requirements.  This concise course gives an overview of the regimes and explores the issues which firms will need to address and resolve if they are to meet the new standards effectively.

LEARN MORE/REGISTER

8th March 2018 – The FCA Code of Conduct Rules: Understanding and Complying with COCON

Time: 1.30pm to 3.30pm

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Background:  From 7th March 2017, the obligation to comply with the Code of Conduct rules will be expanded to include almost all staff involved in any form of regulated activity in organisations within the scope of the Senior Managers and Certification Regime (“SMCR”).

LEARN MORE/REGISTER

9th March 2018 – Senior Management Obligations in FCA Regulated Firms

Time: 9.30am to 11.30am

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Background:

The ever increasing focus by the Regulators on the accountability of Senior Management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them.

LEARN MORE/REGISTER

13th March 2018 – GDPR and the Role of the Data Protection Officer

Time: 9:30am to 12:30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London SW1Y 4UR

Course Overview:

Data security and protection are now at the fore-front of the fight to prevent both fraud and regulatory censure for lax controls over customer data. Latest statistics indicate that UK business is facing an annual £98.6 billion fraud bill. Instances of white collar crime are on the rise, evidenced by the huge rise in cybercrime and cyber-enabled fraud. Seven out of ten frauds involve some kind of technology. Prosecutions have trebled over the last three years, with a 200% increase in the number charged with “cyber” offences.

Learn more/ Register

13th March 2018 - Financial Crime: Politically Exposed Persons and Financial Sanctions

Time: 1.30pm to 3.30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

This succinct 3 hour course provides advice and guidance on compliance with the Statutory and Regulatory requirements relating to Politically Exposed Persons and Financial Sanctions.

LEARN MORE/REGISTER

15th March 2018 – Compliance Induction

Time: 9:30am to 4:30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Background

It is essential that everyone in a wholesale financial services firm has sufficient knowledge and understanding of the regulatory obligations which arise in the context of the firm’s activities.  To have limited, or no knowledge or understanding,  could have serious consequences. Senior Managers also need to understand their compliance responsibilities in order that a suitable compliance infrastructure and culture is installed within the firm.

LEARN MORE/REGISTER

19th March - Internal Audit: The Role in Financial Services Firms

Time: 9.30am to 5.30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

The FCA has described the Internal Audit function as “the function of assessing adherence to and the effectiveness of internal systems and controls, procedures and policies.”  To enable the function to meet this requirement requires it to be independent of the day-to-day business operations, have access to all the firm’s records and to be resourced by individuals who have a strong moral code of independence and objectivity.

LEARN MORE/REGISTER

20th March 2018 – Compliance Officer: The Role and Responsibilities

Time: 9:30am to 4:30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Background

The role of the Compliance Officer (CO) is a mandatory position in all firms in the Financial Services industry. The CO plays a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules.

LEARN MORE/REGISTER

22nd March 2018 - Compliance Monitoring

Time: 9.30am – 12.30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

Senior Management Arrangements, Systems and Controls in the regulator’s handbook sets out responsibility that a Compliance Officer has is to monitor, and on a regular basis, assess the adequacy and effectiveness of the measures and procedures put in place by senior management to ensure compliance with the relevant rules and regulations.

LEARN MORE/REGISTER

22nd March 2018 – Compliance Officer: Writing an Effective Compliance Report

Time: 1:30pm to 3:30pm

Cost: £349 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London SW1Y 4UR

Course Overview:

One of the main responsibilities of the Compliance Officer is to provide management with an assessment of the firm’s systems and controls that have been put in place to achieve compliance with the applicable rules.

LEARN MORE/REGISTER

23rd March 2018 – Money Laundering Reporting Officer: The Role and Responsibilities

Time: 9.30am to 4.30pm

Cost: £649 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Background:

The role of the Money Laundering Reporting Officer  (MLRO)  is a mandatory position in all firms in the Financial Services Industry.

LEARN MORE/REGISTER

27th March 2018 – Money Laundering Reporting Officer: Writing the Annual Report to the Board

Time: 9.30am to 12:30pm

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Cost: £349 + VAT

Course Background:

The Money Laundering Reporting Officer (MLRO) is required to produce a report to the governing body of the firm at least once a year.

This report must include an opinion as to the effectiveness of the anti-money laundering systems and controls, together with other information that the MLRO needs to bring to the attention of the governing body. This requirement links with the obligation that the MLRO has as an Approved Person.

LEARN MORE/REGISTER

Enquire about our tailored training courses

Contact us to learn more about our tailored training courses, which can take place at our London office or at a location of your choice.

Enquire about our tailored training courses

Contact us to learn more about our tailored training courses, which can take place at our London office or at a location of your choice.

WANT TO TALK TO THE TEAM DIRECTLY?

GET IN TOUCH