The purpose of this Compliance Induction training course is to help learners understand their regulatory and ethical responsibilities. The course includes real-world examples and scenarios that highlight the importance of employees recognising and responding appropriately to compliance issues in the workplace.
Geography Covered: Global | Duration: 30 minutes
A strong set of values that includes respect, integrity, openness, and responsibility is integral to the long-term success of all organizations, especially in the financial services industry. These values are demonstrated through client relationships, dealings with regulators and exchanges, a high standard of employee conduct and sound risk management.
A firm’s Code of Conduct describes how these values are put into practice by clearly stating the obligations of employees in a wide variety of workplace situations, including communicating with regulators, accepting gifts and entertainment, managing conflicts of interest, avoiding insider trading, protecting sensitive information, preventing money laundering and more. The Compliance Induction training course stresses that compliance with these obligations is vital to protect both the employee and the firm.
The topics covered in the course include:
- Our values
- Our regulatory environment
- Personal conduct
- Gifts and entertainment
- Conflicts of interest
- Market conduct
- Financial crime
- Operational risk
- Information security
- Confidential information
About our courses
Like with all our courses, the Compliance Induction training course was written by experts and powered by world-leading regulatory intelligence, which tracks more than 900 regulators and exchanges globally to ensure the course content is always up to date.
All our training courses are driven by practical examples and interactive scenarios to ensure users truly understand and recognize the issues of most importance to your business and learn to instinctively act to support them.
We employ instructional design techniques optimized for risk and compliance training, enabling your business to educate in a way that reduces risk and helps you build a culture of integrity and compliance.