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Introduction to Compliance
Individual Licence (EUR 60)
€60.00
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Introduction to Compliance
€60.00
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Flexible returns
Buying for a team?
Choose 5 or 10 licences to purchase access for multiple learners at a reduced per-person rate. After purchase, eBSI will contact you to confirm the learner details and arrange course access for each participant.
Develop practical knowledge and confidence in Introduction to Compliance.
This course will introduce the learner to the notion of compliance and the organization's commitment to adhering to laws and regulations surrounding compliance factors. The learner will also be exposed to the risks of non-compliance and the regulatory agencies involved. After completing this program, the learner will be able to:
Why this course matters
This course turns the subject into practical, structured learning you can apply in real business and workplace situations. It is designed to help you move beyond definitions and understand how the ideas, tools and decisions covered in the course fit together.
What you will gain
- Build a practical understanding of the key concepts covered in Introduction to Compliance.
- Recognise where the topic applies in real workplace or business situations.
- Apply the methods and good-practice approaches covered in the course with greater confidence.
Who is this course for?
This course is suitable for professionals, managers, business owners and learners who want practical knowledge they can apply in real workplace situations.
Course at a glance
- Study time: approximately 2 hours.
- Format: self-paced online learning.
- Professional development: CPD course.
Course Outline
Seat Time: 1.5hrs
This course will introduce the learner to the notion of compliance and the organization's commitment to adhering to laws and regulations surrounding compliance factors. The learner will also be exposed to the risks of non-compliance and the regulatory agencies involved. After completing this program, the learner will be able to:
- Recognize regulatory agencies responsibility for the laws that affect the financial industry.
- Understand the necessity for compliance and recognize the risks of non-compliance.
- Apply commitment to compliance to customer relations.
Course Topics
T1. Our Compliance Commitment: This topic will discuss an organization's commitment to full compliance with the laws and regulations established by regulatory agencies by providing information about roles and responsibilities, training, and other regulations.
T2. A History of Compliance: This topic will provide an overview of the history of banking around the world, from the 30th century B.C. and the onset of banking as an institution, to the present day and age and the fight against money laundering and terrorist financing.
T3. Compliance and the Financial Institution: This topic will define compliance in relation to financial institutions, including information about regulations and compliance in the workplace.
T4. The Risks of Non-Compliance: This topic will emphasize the importance of compliance regulations, with the reminder that errors harm the general public and the institution; it will also provide information about the penalties for non-compliant institutions.
T5. The Regulatory Agencies: This topic will provide an explanation of regulatory agencies and their responsibilities for the laws that affect the financial industry, including information about the Senate, House Committee, State Departments, and more.
T6. Audits and Examinations: This topic will describe the processes and procedures behind audits and examinations, with information about their requirements and their importance to regulatory agencies.
Continue your learning
Part of this learning pathway: Compliance & Regulatory
Course pathway: eBSI Banking Academy > Compliance & Regulatory > Introduction to Compliance
Explore more Compliance & Regulatory training or return to the eBSI Banking Academy.