135 Financial Services Compliance courses

Description This Complaints Handling course is suitable for any member of a team aiming to understand how to properly handle complaints in financial services sector. In particular, this course will prepare you to: Recognise complaints and the importance of dealing with them appropriately. Understand how your organisation may receive complaints. Know the procedure for handling complaints. Follow the rules and etiquette for handling complaints. Understand the role of the Financial Ombudsman Service (FOS).

Description This course provides an introduction to the Senior Managers and Certification Regime (SM&CR) Conduct Rules, which are a set of principles that govern the conduct of senior managers and certification staff in financial services firms. Training Duration This course may take up to 2 hours to be completed. However, actual study time differs as each learner uses their own training pace. Training Method The course is offered fully online using a self-paced approach. The learning units consist of reading material. Learners may start, stop and resume their training at any time. At the end of each session, participants take a Quiz to complete their learning unit and earn a Certificate of Completion upon completion of all units. Accreditation and CPD Recognition This programme has been developed by the London Governance and Compliance Academy (LGCA), a UK-recognised training institution. The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for 2 CPD Units that approve education in financial regulation, such as the FCA. The course may be also approved for CPD Units by institutions which approve general financial training, such as the CISI. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership. Registration and Access To register to this course, click on the Get this course button to pay online and receive your access instantly. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment. If you wish to receive an invoice instead of paying online, please contact us at info@lgca.uk. Access to the course is valid for 365 days.

Description The Senior Managers and Certification Regime (SM&CR) is a regulatory framework introduced by the Financial Conduct Authority (FCA) in 2016. The SM&CR aims to improve the culture of responsibility in financial services firms by increasing the accountability of senior managers. Training Duration This course may take up to 2 hours to be completed. However, actual study time differs as each learner uses their own training pace. Training Method The course is offered fully online using a self-paced approach. The learning units consist of reading material. Learners may start, stop and resume their training at any time. At the end of each session, participants take a Quiz to complete their learning unit and earn a Certificate of Completion upon completion of all units. Accreditation and CPD Recognition This programme has been developed by the London Governance and Compliance Academy (LGCA), a UK-recognised training institution. The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for 2 CPD Units that approve education in financial regulation, such as the FCA. The course may be also approved for CPD Units by institutions which approve general financial training, such as the CISI. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership. Registration and Access To register to this course, click on the Get this course button to pay online and receive your access instantly. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment. If you wish to receive an invoice instead of paying online, please contact us at info@lgca.uk. Access to the course is valid for 365 days.

Description This course provides a brief overview of Suspicious Transactions / Activity Reporting process in a regulated financial services firm. Training Duration This course may take up to one (1) hour to complete. Keep in mind, however, that actual study time varies based on each learner's training pace. Who Should Enrol? This course is addressed to MLRO/MLCO, as well as compliance and/or AML managers in banks, investment firms, investment funds, ASPs, trust service corporate providers, and lawyers. Training Method The course is offered online using a self-paced approach. The learning units consist of video presentations and reading material. Learners may start, stop, and resume their training at any time. At the end of the training, participants take a quiz to complete their learning and earn a Certificate of Completion. Accreditation and CPD Recognition The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for one (1) CPD unit that approve education in financial regulation. The course may be also approved for CPD units by institutions that approve general financial training such as CISI and ACAMS. Eligibility criteria and CPD units are verified directly by your association, regulator, or other any other body for which you hold membership. Registration and Access To register for this course, click on the button above to pay online and receive instant access. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment. Access to the course is valid for 180 days. If you wish to receive an invoice instead of paying online, please email us at info@lgca.uk. Also, please get in touch if you'd like to discuss special corporate group rates.

Own Your Success is delighted to bring you the 'Bitesize Masterclass' with Sophie Chapman. Not everyone has the flexibility to step away from the office for in-person events or dedicate extended periods from their packed schedules for full or half-day sessions. So we've put together our 'Bitesize Masterclasses' to help assistants develop and learn from professionals such as Sophie - shorter sessions, same big impact!   Bitesize Masterclass with Sophie Chapman Sophie Chapman EA to Steven Bartlett  Although Sophie initially aspired to be a talent agent, she swiftly realised that her career passions lay within the administrative/operational aspects of working life. Following her graduation in Entertainment Management from LIPA in 2008, she gained extensive work experience across renowned entities such as Sony BMG and Sky One, operating within the spheres of TV, music, radio, and the events industry. Her pivotal entry into a PA role came while supporting musician Eliza Doolittle. After five years, Sophie opted to move home to Liverpool and accept a contract supporting Sir Dave Brailsford of Team Sky. Once complete, Sophie received an offer for a position based in the US with an A-list musician. However, her journey led her to discover her "forever role", providing support to Steven Bartlett. Steven, the Founder and former Group CEO of Social Chain, is a multifaceted individual—a published author, podcaster, entrepreneur, and presently, the youngest-ever Dragon on BBC's Dragon's Den. Sophie has been instrumental as Steven's Executive Assistant, operating on a global scale, in both private and corporate realms for six years.  Kate Wood Masterclass Facilitator  Kate will aid the facilitation of this Bitesize Masterclass, ensuring that crucial topics are covered while prioritising an environment where every participant feels acknowledged, valued, and heard throughout the session. Kate is a business owner, qualified coach, consultant, facilitator, trainer, podcaster and public speaker with a background in learning & development, employee engagement strategy, continuous improvement, communications and marketing. After 25 years working across the board in blue-chip, non-profit and civil service organisations she now provides support to businesses looking to evolve and become great places for people to work in and with. Having worked with a wide variety of clients from school-age students to senior executives, she has been designing and running workshops, seminars and classes in person or via web events since she left long commutes and corporate roles behind in 2014 when she created her first two businesses. Her passion is improving working relationships between roles and functions and supporting people to discover their best selves at work. She does this in the automotive industry, financial services, medical teams, charities, global media, retail, education systems and the arts. When she’s not working, she and her classic car Monty Morgan can be found zipping around the English countryside. Session topics: How to establish your self-leadership position in your EA capacity Transition from a PA to EA Career development Boundary setting and wellbeing Q&A with the audience - Open-Book Q&A What is a Bitesize Masterclass? Short burst session. Keynote speakers discuss key themes/topics they are passionate about. Q&A with the audience attendees - ask the questions you don't usually get to ask! Run time of 90 minutes (max 2 hours) - we block out two hours in case we overspill on questions. 😊 Virtually delivered - attend from anywhere that's convenient for you! Packed with content, tips and tricks and from industry professionals who can share their experiences with you. Who will attend? PA's EA's Administrative roles --------------------------- At Own Your Success, we strongly believe in fostering an inclusive environment where diversity is celebrated and discrimination of any form is unwelcome. We welcome attendees from all backgrounds, regardless of race, ethnicity, gender identity, sexual orientation, religion, age, ability, or any other characteristic. Discrimination has no place in our workshops, and we are committed to creating a respectful and supportive space for all participants to learn and grow together. ---------------------------

Discover Ethereum blockchain development with our comprehensive course. From the fundamentals of Solidity to advanced topics such as NFTs and Truffle, we will gain practical skills through hands-on projects. Whether a beginner or an experienced developer, this course equips us with the tools and knowledge to excel in Ethereum blockchain development.

If you are working on data science projects and want to create powerful visualization and insights as an outcome of your projects or are working on machine learning projects and want to find patterns and insights from your data on your way to building models, then this course is for you. This course exclusively focuses on explaining how to build fantastic visualizations using Python. It covers more than 20 types of visualizations using the most popular Python visualization libraries, such as Matplotlib, Seaborn, and Bokeh along with data analytics that leads to building these visualizations so that the learners understand the flow of analysis to insights.

This course covers Python for data science and machine learning in detail and is for a beginner in Python. You will also learn about core concepts of data science, exploratory data analysis, statistical methods, role of data, challenges of bias, variance and overfitting, model evaluation techniques, model optimization using hyperparameter tuning, grid search cross-validation techniques, and more.

In this course, we will master the syntax and structure of RSpec then learn to utilize test-driven development principles to design and implement clean test specs and reduce dependencies in the test suite by mocking objects with class and instance doubles. We will also explore the wide collection of RSpec matches available to test the code.

Conflicts of interest are a critical concern in the financial services industry, where individuals and organizations often find themselves balancing multiple roles and responsibilities. This comprehensive course on Conflict of Interest Management in Financial Services Regulation is designed to provide professionals in the industry with a deep understanding of conflicts of interest, their implications, and the regulatory framework governing them. Participants will gain the knowledge and tools necessary to identify, assess, mitigate, and disclose conflicts of interest effectively.