Compliance Professionals

Why is there an increased focus on Compliance  in Financial Services?

With a growing set of regulatory and operational compliance requirements, compliance professionals are under increased pressure.

Today compliance goes beyond regulation. Society demands rigorous standards of integrity in financial services and internal control. The compliance function is an integral part of the corporate governance structure, augmenting and strengthening other aspects of control and risk management.

Compliance provides guidance in relation to regulations. This includes development of policies, procedures, and guidelines designed to facilitate adherence to applicable laws and regulations. Compliance keeps all personnel informed on regulatory requirements and events. Compliance also performs a critical ongoing monitoring and surveillance of the business units and proactively reviews business activities for potential regulatory, compliance, and reputational risks.

Our Risk and Compliance courses focus on what you need to know ensuring everyone who has an accountable role in an organisation is getting the right information about their responsibilities.

How do we support compliance professionals in financial services?

What others say about us

Parallels real workplace experience.

We have been using FEP for a number of years now. The course materials are highly professional and parallels real workplace experience. Staff greatly value participating in meaningful external training and are the greatest advocates.

Efficient, informative and accessible.

The content is well set out, clear and precise. My organisation does the course every year and we are continuing to learn new and interesting things with each new offering. The content is up to date with the industry and completely relevant to my role. I had all the support and learning resources available to get it done…

Extremely relevant and meaningful.

Our firm exclusively uses the services of Financial Education Professionals for all of our ongoing RG146, compliance and responsible manager training for our team. We find course materials extremely relevant and meaningful and this allows our team to have up to date, practical knowledge.

Peter McGuire, CEO, XM

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