Why should you attend?

If you’re looking to understand more about the role of the Compliance Officer, this is the workshop for you. During this half-day session, we’ll take a deep dive into the responsibilities of an SMF16.

Our MASTER events are renowned for being interactive sessions with small delegate numbers to ensure that each attendee receives the same level of support – just as you would in a face-to-face environment. Be prepared to get involved and learn from not only us, but your peers too.

Learning Objectives:

• Fully understand the role of Compliance Officer and exactly what the regulator expects from you.
• Understand how you can effectively manage the compliance oversight function within your firm, or how to be ready to do so if you’re looking to step into this role.
• Understand the key processes you need to be aware of, and any pitfalls to avoid!
• Be able to identify what relevant processes, controls, and structures are in place to ensure the firm is operating within the FCA’s handbook rules and how to create them if needed.

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Spaces are limited to 12 Compliance Premium Clients only. We’ll be operating a “1 screen-per-firm” policy. So if you would like to attend, please link up with colleagues, sign up once and join the call together.

If you can’t attend on the day, please cancel your registration so someone else can take the spot. This is a super popular session, so we want to give everyone the chance to take part, and no-shows won’t be invited back.

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