Compliance Monitoring - CPD Training Course

Seminar Overview:
This introductory level, highly interactive training session details all of the main elements involved in Compliance Monitoring. No prior knowledge is assumed and all relevant industry jargon will be explained in plain English throughout. 

Topics include:
  • What is Compliance Monitoring?
  • What are the three lines of defense?
  • Where does Compliance Monitoring sit within these three lines of defense?
  • Procedures and processes
  • Reporting the results
  • Designing, monitoring, testing and implementing a Compliance Monitoring program

Who Should Attend?

This introductory level course is suitable for staff that are new to the financial services industry that either work in Risk, Compliance or Compliance Monitoring, staff from system and service suppliers to the regulated market place or those that are looking to refresh their knowledge. 




A CPD certificate will be provided to all attendees, which may be considered appropriate by your company for the accrual of CPD hours. Delegates will qualify for 3 CPD hours.



To Reserve a Place

Email This email address is being protected from spambots. You need JavaScript enabled to view it., call +44 (0)20 7422 0063 or book online. You will receive confirmation of your booking within 24 hours. Price inclusive of all course material. Price exclusive of VAT.


Training and Venue Information

CPD Authorised Yes
Event Date 10-12-2019
Event End Date 10-12-2019
Event Time 10:00 - 13:00
Price £210.00
Location SIX Financial Information UK (EC2),  6 Devonshire Square, London EC2M 4YE, UK
£210.00 999