An Introduction to Compliance
Designed for participants wishing to learn about Compliance or looking to work towards becoming a Compliance Officer in the financial services industry.
This course is at an introductory level and it is assumed that participants will have a basic knowledge of regulatory compliance. Details provided in this course will equip participants with the knowledge of regulatory compliance within the financial services industry and the responsibilities of the Compliance Officer function.
The definition of compliance – why regulate?
The regulatory background
Implementation of the correct policies, procedures, and internal controls
The role of corporate governance
Duties and responsibilities of a Compliance Officer
The Compliance Monitoring Programme
A director’s role in Compliance
Regulatory visits – key elements
- Recent penalties
After attending the course, participants will:
Be aware of the importance of compliance within the financial services industry and its impact
Understand their own responsibilities and what is required to ensure compliance
Have gained an awareness of the regulatory requirements
Be able to identify any compliance deficiencies within the workplace
- Recognise the implications of poor compliance
Lindsay Fox is the founder of Platinum Compliance (Guernsey) Limited.
With almost 30 years in the Guernsey financial services industry, Lindsay has experienced a variety of roles throughout her career, including Asset Management, Fund Administration, New Business, Global Custody, Credit Risk, Banking and Training, as well as involvement in GFSC visits, resulting in a thorough understanding of industry needs from a regulatory perspective.
Lindsay holds the Institute of Directors (IOD) Diploma in Company Direction, the International Compliance Association (ICA) Diploma in Compliance (Distinction), the Institute of Chartered Secretaries and Administrators (ICSA) Certificate in Offshore Finance and Administration and the Securities and Investments Institute's (SII) Investment Administration Qualification (IAQ).