342 Compliance courses in Bootle

Course Information Join our comprehensive three-day programme designed as an invaluable external training opportunity for auditors, audit programme managers, and individuals subject to audits. This course is tailored to foster a deep understanding and cultivate essential skills for auditing the validation of computer systems intended for GxP environments (GLP, GCP, GMP, GDP, GPvP). Commencing with an overview of regulatory prerequisites and the system life cycle, the course swiftly transitions to focus on the pragmatic aspects of auditing computer system validation. Experience a blend of presentations, interactive discussions, and immersive practical workshops throughout the duration of the course. Delegates will benefit from practical examples of how to understand the framework of applicable regulations and guidance. Apply risk management techniques to audit planning Plan and conduct computerised system audits Assess system validation documentation to verify compliance Evaluate data integrity and security issues Prepare for regulatory inspection. The course is structured to encourage delegates to: Discuss and develop ideas Solve specific problems Understand the vulnerabilities of computerised systems Learn how to create a compliance checklist Link system development with good business practice. Is this course for you? Auditors Audit programme managers Individuals subject to audits. Tutors Tutors will be comprised of (click the photos for biographies): Nichola Stevens Director and Principal Consultant, Nuncius Compliance Solutions Ltd Barry McManus Consultancy Partner, Empowerment Quality Engineering Ltd Programme Please note timings may be subject to alteration. Day 1 09:00 Welcome and Introductions 09:45 Why We Validate and Regulatory Trends 10:30 Break 10:45 Audit Overview, High Level Process and Scheduling 11:30 System Lifecycle 12:30 Lunch 13:15 Exercise 1 - Audit Scheduling 14:45 Exercise 1 - Feedback 15:15 Break 15:30 Validation Deliverables 16:30 Risk Assessments 17:30 Close of Day 1 Day 2 09:00 Supplier Assessment 10:30 Break 10:45 Exercise 2 - Planning a Supplier Audit 12:00 Exercise 2 - Feedback 12:30 Lunch 13:15 Exercise 3 - Auditing a Computerised System Validation Package 15:30 Break 15:45 Exercise 3 - Feedback 16:30 Change Control 17:15 Close of Day Day 3 09:00 Infrastructure Qualification 09:45 Maintaining a Validated State - Operational Processes 11:00 Break 11:15 Exercise 4 - Auditing Systems in Operational Use 12:45 Lunch 13:30 Exercise 4 - Feedback 14:15 Exercise 5 - Auditing Trail Review 15:30 Break 15:45 Exercise 5 - Feedback 16:15 Course Objectives Summary and Any Additional Questions 16:45 Close of Course Extra Information Face-to-face course Course Material Course material will be available in PDF format for delegates attending this course. The advantages of this include: Ability for delegates to keep material on a mobile device Ability to review material at any time pre and post course Environmental benefits – less paper being used per course. The material will be emailed in advance of the course and RQA will not be providing any printed copies of the course notes during the training itself. Delegates wishing to have a hard copy of the notes should print these in advance to bring with them. Alternatively delegates are welcome to bring along their own portable devices to view the material during the training sessions. Remote course Course Material This course will be run completely online. You will receive an email with a link to our online system, which will house your licensed course materials and access to the remote event. Please note this course will run in UK timezone. The advantages of this include: Ability for delegates to keep material on a mobile device Ability to review material at any time pre and post course Environmental benefits – less paper being used per course Access to an online course group to enhance networking. You will need a stable internet connection, a microphone and a webcam. CPD Points 19 Points Development Level Develop

This module aims to develop knowledge and understanding of the impact of Import/Export freight movement on the environment and the opportunities available to organisations to use sustainable options. we will cover CBAM , Deforestation, GSPR and many challenges facing Exporters and Importers.

CPD accredited Level 3 Effective Auditing & Inspection course. Delivered online (Zoom) by a live tutor. Exam and Certificate fee included in the price.

In January 2024 alone, reports were published about the SRA taking enforcement action against 3 firms and 4 individuals for failure to comply with the Money Laundering Regulations 2017. The fines issued for these non-compliances total over £570,000 plus costs. The absence of staff training, or requirement to complete additional training, was noted in a number of these cases. As a manager of a law firm, or more crucially an MLRO or MLCO, the ultimate responsibility for the firm's compliance, including with the MLR 2017, lies with you. It is your responsibility to ensure that the firm puts in place, reviews and updates compliant policies, controls and procedures. You must ensure that the firm maintains an up to date practice wide risk assessment. You are required to ensure that your employees are regularly given training on the MLR 2017 and associated risks. If a breach occurs, the SRA will take a wider look at the firm and identify any supervisory deficiencies that may have contributed to failures by fee earners or support staff. It has proven that it will not shy away from holding to account managers, compliance officers and MLRO/MLCOs for failures by their firms to comply with requirements of the MLR 2017. This course will cover the following to assist firms MLROs, MLCOs and Management with fulfilling their AML management responsibilities: How to comply with your obligations and stay compliant FWRA – linked with PCPs Mandatory AML Policies and Procedures - SRA have concerns Training and supervising staff Audits SRA requirements Reporting SARS POCA/TA Fulfilling reporting officer and compliance officer duties Target Audience The online course is suitable for MLROs, MLCOs, firm management and those supporting these roles. Resources Comprehensive and up to date course notes will be provided to all delegates which may be useful for ongoing reference or cascade training. Please note a recording of the course will not be made available. Speaker Helen Torresi, Consultant, DG Legal Helen is a qualified solicitor with a diverse professional background spanning leadership roles in both the legal and tech/corporate sectors. Throughout her career, she has held key positions such as COLP, HOLP, MLCO, MLRO and DPO for law firms and various regulated businesses and services. Helen’s specialised areas encompass AML, complaint and firm negligence handling, DPA compliance, file review and auditing, law management, and operational effectiveness in law firms, particularly in conveyancing (CQS).

In this masterclass we'll unravel the complexities of the online world, shedding light on the most pressing current and emerging risks and opportunities faced by children and young people, from the perspective of the DSL, as Online Safety Lead.

This training is for lawyers who may come into contact with vulnerable people through their work. In particular, it is aimed at those who hold legal aid contracts and must meet the requirements of the Specialist Quality Mark (SQM) standard in respect of safeguarding. Everyone has the right to be kept safe from harm, abuse or neglect. We all have obligations to ensure that vulnerable people are protected and that we have appropriate procedures in place to ensure that abuse is identified and reported.  We will help you to understand the following; What is safeguarding? The different types of abuse Example signs of abuse, harm and neglect What action should be taken if abuse is suspected The SQM requirements What a Safeguarding Policy should include Target Audience The online course is suitable for staff of all levels, from support staff to senior partners and is aimed at firms maintaining or wishing to obtain the Specialist Quality Mark. Resources Comprehensive and up to date course notes will be provided to all delegates which may be useful for ongoing reference or cascade training. Please note a recording of the course will not be made available. Speaker Amie Higgins, Consultant, DG Legal Amie is a Senior Solicitor, qualified under the Law Society’s Immigration & Asylum Accreditation Scheme (IAAS) as an Advanced Caseworker and Supervisor. Amie specialises in all aspects of Immigration, Asylum and Human Rights work, with a specialism in human trafficking/modern slavery cases and working with vulnerable clients. Amie is an experienced trainer, delivering a range of training on both legal and practice management topics.

International markets offer huge Export opportunities for UK businesses. Finding and developing new markets for products is a hugely valuable avenue for expansion and in some sectors in particular, global demand for British brands and products makes international trade an excellent means of growth.

BCG Course

The COLP role goes beyond just ensuring your firm follows the rules in the SRA Standards and Regulations, it also comes with a personal accountability factor that demands your attention. Fear not! This 3 hour course will usher you through the intricacies of being a COLP, ensuring you not only meet but excel in your regulatory obligations.  The course will cover: Navigating the Regulatory Landscape: Understanding the Framework for COLPs Dive into the intricate regulatory framework that Compliance Officers for Legal Practice (COLPs) operate under. Shouldering the Responsibility: Unpacking the Duties of a COLP Explore the multifaceted responsibilities that come with the role of a COLP. Choosing the Right Leader: Identifying the Ideal COLP Candidate Learn the criteria for selecting the most suitable individual to take on the crucial role of COLP. Cracking the Codes: Key Elements of Codes and SRA Principles Delve into the essential components of the Codes and SRA Principles that form the backbone of legal compliance. Building a Robust Foundation: Understanding Compliance Systems for All Firms Explore the concept of compliance systems, what they entail, and why every firm should have one in place. Reporting Matters: Recognising 'Serious' Issues, SRA Enforcement Strategy, and Reporting Protocols Uncover the definition of 'serious' matters, grasp the SRA Enforcement Strategy, and gain practical insights on making effective reports to the SRA. Paper Trails Matter: Effective Record Keeping, Including Non-material Breaches Master the art of comprehensive record-keeping, including strategies for recording non-material breaches, and understand why it's integral to compliance. Personal Liability: Understanding and Mitigating Risks Navigate the landscape of personal liability for COLPs and develop strategies to mitigate associated risks. Staying Ahead: Keeping Abreast of Regulatory Changes and Guidance Develop effective strategies for staying up to date with dynamic regulatory changes and evolving guidance. Planning for Compliance: Crafting a Robust Strategy, Assessing Risk, and File Reviewing Formulate a comprehensive plan for tackling compliance, including risk assessment, maintaining risk registers, and implementing effective file reviewing. Across the Board: Legal and Regulatory Compliance Areas Every COLP Must Master Gain a high-level overview of crucial legal and regulatory compliance areas, including AML, transparency rules, and other pivotal aspects that demand the attention of all COLPs. Target Audience This online course is suitable for those new to the COLP role, or those supporting the COLP and for those that would like a refresher of the role and their responsibilities. Resources Comprehensive and up to date course notes will be provided to all delegates which may be useful for ongoing reference or cascade training. Please note a recording of the course will not be made available. Speaker Helen Torresi, Consultant, DG Legal Helen is a qualified solicitor with a diverse professional background spanning leadership roles in both the legal and tech/corporate sectors. Throughout her career, she has held key positions such as COLP, HOLP, MLCO, MLRO and DPO for law firms and various regulated businesses and services. Helen’s specialised areas encompass AML, complaint and firm negligence handling, DPA compliance, file review and auditing, law management, and operational effectiveness in law firms, particularly in conveyancing (CQS).

This masterclass will enable you to gain comprehensive awareness and be a supportive guide for Key Staff through fully understanding recent changes and developments in one of the fastest growing categories of safeguarding concerns.