Financial Compliance
Train your teams on important concepts of financial compliance with this online course collection.
- Risk Management
- Compliance Awareness
- Problem-Solving
- Decision-Making
- Critical Thinking
Collection Overview
Compliance is a dreaded concept. But these rules exist to protect you and your company from unfortunate, and potentially dangerous, incidents. Certain rules fall under the finance sector, and it’s important for both your managers and your teams to be aware of them. This collection will show you concepts that fall under finance compliance, that your teams need to be aware of.
This collection includes concepts such as Financial Regulation Frameworks, Tax Evasion (Domestic & International), Trade Surveillance & Rogue Trading, and Greenwashing. It will also help your teams understand the concepts, and dangers, of Gifts & Hospitality, and learn more about Anti-Corruption Practices.
Each course in this collection takes 15 minutes or less to complete, so your teams can easily fit the training into their busy schedules.
Courses in collection
Anti-Money Laundering (UK)
Train your employees on defining money laundering, identifying high-risk factors, and applying customer due-diligence checks.
Financial Conduct Authority Overview (UK)
Train your employees on the role of the FCA, how it regulates financial markets, and its enforcement powers.
Anti-Bribery (UK)
Train your employees on defining anti-bribery laws, recognizing bribery offenses, and taking actions to avoid and address potential bribes.
Competition Law (UK)
Train your employees on identifying competition law and prohibited actions, recognizing violations, and applying best compliance practices.
Corporate Governance (UK)
Train employees on corporate governance principles, board roles, the CCO’s importance, and the committees’ purpose and responsibilities.
Fraud Awareness (UK)
Train your employees on defining fraud, recognizing common fraud techniques and indicators, and applying practices to prevent fraud.
Responsible Lending and Affordability (UK)
Train your employees on defining creditworthiness, affordability, sustainability, assessing creditworthiness, and avoiding unfair practices.
Financial Crimes Prevention (UK)
Train your employees on types of financial crimes, risk management practices, and systems to prevent financial crimes.
Financial Sanctions (UK)
Train your employees on financial sanctions, screening customers against lists, actions to take on matches, and understanding exceptions.
Introduction to Consumer Duty (UK)
Train your employees on Consumer Duty’s 4 outcomes, cross-cutting rules, and fostering a customer-focused culture.
Financial Regulation Frameworks
Train everyone on understanding financial regulation frameworks with this course.
KYC – Know Your Customer
Train your teams on the benefits of KYC. Show them how to demonstrate compliance through the KYC 3-step framework.
Tax Evasion (Domestic & International)
Train your employees on the difference between tax evasion and tax avoidance with this course.
Accounting Ethics
Train your financial teams on accounting ethics. Show them the 5 fundamental principles of ethical behavior with this course.
Finance Roles – Pre-Employment Checks
Train your employees on pre-employment checks. Explain the types of background checks needed to work in the financial industry.
Gifts & Hospitality
Train your employees on the bribery risks of gifts and hospitality. Help them identify which gifts and hospitality are appropriate.
Anti-Corruption
Train your employees on the different types of potential corruption within an organization with this course.
Dealing with Consumer Fraud
Train your employees on dealing with consumer fraud. Show them the correct procedures for reporting fraud with this course.
Trade Surveillance & Rogue Trading
Teach your employees what rogue trading is with this course. Show them how to identify potential rogue traders.
Greenwashing
Learn more about greenwashing and how it can impact your business. Understand how to avoid greenwashing as a business with this course.
Anti-Money Laundering
Learn what steps you can take towards AML compliance, to help you prevent incidents of money laundering in the workplace.
Anti-Bribery Practices
Bribery can be very harmful to a business. Learn how to set up anti-bribery compliance practices with this course. Watch trailer.
