Learning outcomes:

On successful completion of the Professional Certificate and Diploma in Compliance you will be able to;

• Understand the role of compliance within a financial services organisation.
• Explain the theory and describe the practice of regulation from both an Irish and International perspective
• Describe the impact of relevant regulation and the role of the various regulatory bodies on the operation of the compliance function
• Describe the legal environment that applies to the Financial Services industry
• Assess the systems of controls, assurance and governance in an organisation
• Critically evaluate the importance of ethics and their role in the compliance function
• Understand the impact of regulatory rules relating to how consumers of financial services are protected
• Assess the authorisation, supervision and prudential requirements for different financial entities
• Analyse the relationship between compliance and the control systems in an organisation.
• Describe where the compliance function fits within a financial services organisation.
• Explain the impact of conduct of business rules on financial services providers.
• Devise a regulatory relations policy in relation to inspections, themed visits and routine relations
• Identify and pursue appropriate learning opportunities (academic and non-academic) which enhance their professional career ambitions and individual capabilities

Who is the course for?

It is designed to enhance skills, judgement and ability to deal with practical issues in the management and practice of compliance in the financial services industry.

Modules:

• PDC 3 Legal & Regulatory Aspects of Compliance
• PDC 4 Compliance Management

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