Compliance Officer: The Roles and Responsibilities - 18 May 2022
The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.
Social (S)
Consists of people-related elements both within the firm and society as a whole. Includes labor issues, human rights, customer satisfaction, data protection and privacy, and diversity and inclusion.