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Rules aren’t enough to ensure compliance with regulations. This course provides a practical introduction to the steps that every regulated firm needs to take in order to create, build and sustain a culture of compliance.
This course will be of particular interest to directors, managers or compliance staff concerned with establishing or improving his or her firm’s compliance culture.
This course covers the following topics:
In attending this course you will:
Sharon Alvarez is a Director of Resolve Partners Ltd. Prior to setting up Resolve Sharon was a Director of a large Guernsey fund administrator. She held the position of Group Head of Risk and Compliance with responsibility for Guernsey, London, Luxembourg and Jersey compliance, governance and risk management. She is a qualified accountant and Chartered Secretary. Sharon has over 30 years' experience of accounting, administration and compliance/governance including many years at board level on companies in multiple jurisdictions (including regulated General Partner boards). She has significant experience in leading licensed entities through complex and problematic situations including GP/Advisor divorce, mediation, regulatory issues and regulator onsite inspections including PRISM. Sharon enjoys all aspects of compliance, governance, company secretarial and risk management and since setting up Resolve has worked with clients from the fiduciary, fund, banking and insurance sectors.
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Take your career to the next level with higher education that works for you