Compliance Officer Course

Strategi Institute has developed a compliance officer course specifically tailored for financial advice provider (FAP) compliance officers/managers.

The focus of this course is on understanding the obligations relating to relevant legislation, regulation and codes and building a compliance assurance programme proportional to the business size.

FAP compliance officer overview
  • Who should be your in-house compliance officer? What skills and experience should they have? 
  • What a typical FAP compliance officer job description would look like.
  • Understanding the entire risk and compliance space with regards to a FAP and meeting your licence requirements.
  • What is required for a meaningful governance risk and compliance framework including what is a compliance assurance programme and how to make it work.
  • Understanding the three layers of defence and who does what.
  • Bringing about culture change and how to motivate your staff to be compliant.
  • What is good conduct, how do you demonstrate it and how do you report it?
  • What is the process for becoming a FAP, what are the timeframes and what do you need to do to ensure your business meets those?
  • Tips for using technology to potentially simplify the compliance officer role, improve board reporting and reduce external compliance assurance costs.
  • What is the Goldilocks AML/CFT audit solution and how to fully integrate AML/CFT obligations into your compliance assurance programme.
Online facilitated
Online manual
Printed manual
Self-directed learning
Facilitator-led learning
Online chat support
Phone support
Email support
Assessor support
Q&A sessions
Facilitator support
Student peer support

Need help?

Can’t find the course you are looking for, or need more information on what option is best for you? Contact the Strategi Institute team, we are here to help you.

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