Course Overview
- Course Title: Financial Services - Basics of Regulation & Compliance
- Instructor: Baba Oyewole FCCA
- Target Audience:
- Compliance Officers
- Risk Managers
- Investment Bankers
- Financial Analysts
- Internal Auditors
- Legal Advisors
- Accountants
- Finance Students
- Operations Managers
- Entrepreneurs
- Insurance Professionals
- AML Analysts
- KYC Specialists
- Treasury Professionals
- Fund Managers
- Regulatory Consultants
- Financial Advisors
- Ethics Officers
- Project Managers in Finance
- FinTech Professionals
- Prerequisites:
- Basic understanding of financial systems or services
- Interest in financial services sector, financial regulation and ethics
- Ability to read and interpret financial news and documents
- Familiarity and Interest with current events in finance
- Interest in financial news and documents
- Willingness to learning
- Access and knowledge of basic computer usage
Curriculum Highlights
- Key Topics Covered:
- Purpose of financial regulation
- Role of global regulatory bodies
- Key legislation and their impact
- AML, KYC and CTF principles
- Importance of customer due diligence
- Regulatory Environment
- Ethics and Compliance Culture
- Risk management strategies
- Use of RegTech in compliance
- Ethical leadership and culture
- Data protection in financial services
- Consequences of non-compliance
- Key Skills Learned:
- Understanding regulatory bodies
- Key legislation
- Risk management practices
- Anti-money laundering practices
- Market abuse regulations
- Internal controls
- Reserves ratio requirements
- Data protection laws like GDPR
- Role of RegTech in compliance tasks
- Cultural and ethical aspects of compliance
Course Format
- Duration: 1.5 hours on-demand video
- Format: Self-paced online course
- Resources:
- Access on mobile and TV
- Certificate of completion