Financial Services Compliance Managers Training
Practical Compliance Officer Fundamentals
Designed for:
- Compliance professionals with less than 3 years experience in a financial services compliance role
- Individuals in smaller financial services companies who wear a compliance ‘hat’. (typically may be the COO, the Company Secretary, or the Legal Officer)
To provide a practical understanding of the role and functions of Compliance Officer in the Australian financial services industry
The Course:- Australian Financial Services Licence Requirements: Overview; AFSL authorisations; AFSL requirements; Conflicts; Training requirements; Compliance & risk management; Responsible Managers; ASIC breaches; Retail requirements
- The Compliance Officer (Part A): What is compliance? Compliance governance; Compliance processes; Sources of compliance requirements; Compliance policies; Compliance training; Compliance monitoring
- The Compliance Officer (Part B): Handling exceptions; Reporting on compliance matters; Dealing with regulators; Compliance culture; When you get back to the office
Conducted over three (3) three-hour hands-on workshops and includes extensive practical case studies and group exercises. Your takeaways include practical working checklists.
Trainer
Conducted by experienced financial services Compliance Consultant, Penni James. Penni has over 23 years experience in the financial services industry including 12 years in senior in-house compliance roles at Deutsche Bank and Bankers Trust. In January 2007 she established Penni James Compliance Solutions advising a range of clients on implementing effective frameworks for AFS licensing, managed investments and AML requirements. She is an experienced compliance trainer and is an independent member of a number of managed investment scheme compliance committees as well as a Director for a large superannuation trustee.
Cost
$995.00 + GST per person, includes workshops, course materials, case studies and practical checklists
Upcoming Workshop Series
Call or email for dates of upcoming workshop series
Download Brochure (click here)
How to Register
Contact Financial Education Professionals on 02 9252 7437.
Email: enquiries@financialeducation.com.au