Course Includes:
- Price: FREE
- Enrolled: 18504 students
- Language: English
- Certificate: Yes
- Difficulty: Beginner
Coupon verified 06:00 AM (updated every 10 min)
Course Folder
What You'll Learn
- Purpose of financial regulation
- Role of global regulatory bodies
- Key legislation and their impact
- AML
- KYC and CTF principles among many others
- 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
Requirements
- 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
Description
Financial Services - Basics of Regulation & Compliance is a comprehensive introduction to the ever more important Regulatory/Compliance aspects of Financial Services.
In the financial services landscape, regulation and compliance are more critical than ever.
This course, "Financial Services – Basics of Regulation & Compliance" course is designed to provide professionals, students, and financial enthusiasts with comprehensive understanding of the rules, frameworks, and ethical principles governing global financial systems.
This course demystifies the complexities of compliance, offering insights into regulatory bodies, key legislation, risk management practices, and cutting-edge technology shaping compliance functions.
Through practical case studies, real-world examples, and a globally informed curriculum, learners will explore anti-money laundering practices, market abuse regulations, risk management, internal controls, reserves ratio requirements, data protection laws like GDPR, and the role of RegTech in compliance tasks.
Learners will also delve into the cultural and ethical aspects of compliance, understanding how a strong compliance culture can protect firms from financial and reputational harm.
Whether you're new to the industry or looking to deepen your knowledge, this course equips you with essential tools to navigate financial services with confidence and integrity.
This course is recommended for everyone working (or interested) in the financial services sector, including: 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 and many more.
I know this course will be an asset to you, your profession and organization.
best regards,
Baba Oyewole FCCA
Who this course is for:
- Compliance Officers
- Risk Managers
- Financial Controllers
- Regulatory Officers and Officials
- Investment bankers
- Banking professionals
- Financial Analysts
- AML Analysts
- Internal Auditors
- External Auditors
- KYC Specialists
- Legal Advisors
- Accountants
- Management Consultants
- Finance Students
- Operations Managers
- Insurance Professionals
- Entrepreneurs
- Treasury Professionals
- Fund Managers
- Financial Advisors
- Regulatory Consultants
- Ethics Officers
- Learning and Development Professionals
- Project Managers in Finance
- FinTech Professionals
Recommended Courses
Productivity - Focus, Concentration & Performance Strategies
FREE
Learn all you need to about Strategies, Techniques, Practices for improving Your Focus, Concentration and Productivity
Enrolled
Financial Services: Introduction to ETFs
FREE
An introduction to Exchange Traded Funds (ETF's). With simple, clear explanations, examples, constitution and more
Enrolled
Financial Services - Basics of Business & Corporate Banking
FREE
Get an understanding of Business and Corporate Banking, services, products how they differ with ample examples
Enrolled
Workplace Productivity-Coping with the Anxiety of Leadership
FREE
Strategies, techniques and steps to succeed in a Leadership role - while effectively coping with associated expectations
Enrolled
Mental Health for the Workplace
FREE
A Comprehensive Course on Practical Workplace Mental Health practices - aimed at everyone in the Workplace
Enrolled
Managing Social Anxiety in the Workplace
FREE
Helping You and Your Organisation Understand and Manage Social Anxiety within Your Workplace
Enrolled
Google Cloud GenAI Leader - Practice Exam 330 Questions 2026
FREE
Master the Google Cloud Generative AI Leader exam | 6 Full Practice Tests | aligned with Syllabus detailed Explanations!
Enrolled
Financial Services - Understanding Interest Rates
FREE
Get an understanding of Interest rates, what they are used for, products, services applications & implications
Enrolled
Financial Stewardship for Decision Makers and Leaders
FREE
Long term management of financial resources, responsibility, integrity in all business interactions and decision making
EnrolledPrevious Courses
Self Discipline will Change Your life for GOOD
FREE
Find freedom, Equip Yourself, Develop Habits with downloadable materials for your use - It is a packed course
Enrolled
AI Practice Exam: Master AI Concepts with These Questions
FREE
Master AI with Practice Exams:LLMs, Generative AI, Machine Learning, MLOps, and RAG Architectures for 2026 Certification
Enrolled
ИТ Директор (CIO): стратегия IT, цифровая трансформация [RU]
FREE
CIO | ИТ директор | IT стратегия | цифровая трансформация | кибербезопасность | data & analytics | управление IT
Enrolled
Эксперт Критического Мышления: Решения в Эпоху AI [RU]
FREE
критическое мышление | принятие решений | логика | когнитивные искажения | анализ информации | мышление лидера
Enrolled
Total Rewards Mastery: Vergütung & Benefits System [DE]
FREE
Personalwesen | Lohn- und Gehaltsabrechnung | Stellenbewertung | Gehaltsstrategie | Vergütungsmanagement | Anreize
Enrolled
Diplomierter HRBP: Strategischer HR Business Partner [DE]
FREE
HCI | Personalplanung | Strategie | Talentmanagement | Personalanalyse | Führung | Organisationsentwicklung OD
Enrolled
Майстер Performance Review: Організація & Проведення [UA]
FREE
Performance Review: оцінка результатів, компетенцій, бонусів, розвитку та підвищення ефективності. Рев'ю, атестація
Enrolled
ASP 11 / CSP 11 Exam Preparation Practice Test #1
FREE
ASP 11 / CSP 11 Exam Preparation Practice Test, where students will focus on the updated blueprints released by the BCSP
Enrolled
ASP / CSP Exam Preparation - Fire Prevention and Protection
FREE
Occupational Health and Safety
Enrolled