Compliance in Financial Services

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Compliance in Financial Services

Available from multiple providers

Earners of this badge have gained an insight into compliance in the financial industry and ethics in financial services. Earners have a greater awareness of money laundering and the importance of understanding and assessing risk in relation to money laundering.

Criteria

Available by application only, please contact the provider for more information.

Earner has gained an awareness of regulation and compliance in financial services. Through workshops, lectures, and activities, they have developed an understanding of ethical standards and conduct, compliance and regulation within the Financial Services Industry, reasoning for compliance, and potential consequences of violating the rules.

Earner has attended a series of workshops and shadowed a compliance team in a workplace to learn about the role of compliance functions and compliance professionals, and developed understanding of how compliance works in practice.

Earner has developed an understanding of independent compliance functions within Financial Services industry and how this can mitigate risks related to misconduct, money laundering, and other forms of non-compliance.

Earner has, through workshops and shadowing, gained an understanding of money laundering, the role of HMRC, Financial Conduct Authority and professional bodies in detection of money laundering. They have developed knowledge of the policies, procedures, and controls that need to be in place within an investment banking environment, to reduce the risk and the importance of keeping adequate records.

Available by application only, please contact the provider for more information.

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