The Responsibility of Compliance Directors Is Growing And It Is Vital They Have Their Finger On The Pulse.
Instruction book on how to perform a role under UK regulatory requirements for a firm to meet compliance.
As a UK Financial Services Regulatory Compliance Executive who desires to be sure they have all bases covered before any regulatory visit; or maybe wish to know the secret tips of compliance risk assessments and business or operational risks; or perhaps are new in the job and want insights into hot-topics, enforcement and regulatory methodologies and best practice. If so then the “Compliance Manager Guidebook & Reference” is written for you.
Regulatory Compliance is constantly changing and many people need to know; What do the most recent changes mean? What changes have happened to the regulatory Handbooks? What effect does this have on the sales process? Does the documentation have to be adjusted? Does the sales process have to be amended? Whenever these questions are asked, everyone turns toward “compliance” to find out. If you are new or an old-timer, you have to know what the latest changes are and the best ways to apply the requirements to your firm. If you need any of this and may want to develop the role of the compliance officer within the compliance function or the entire firm then help is at hand.
If you are hoping to discover the affect on compliance and identify areas that cause concern to most compliance professionals, then you’re about to discover how to start improving, today! In fact, we will deal with a number of aspects of the role of the Compliance Manager concerning the regulators and the regulators current perspective and hotspots, by having this Ebook “Compliance Manager Guidebook & Reference”, the most suitable selling Ebook of it’s type, gives you the answers to 17 important questions and challenges every Compliance Manager faces, including: The regulatory terrain; how did this evolve to today’s landscape? How do you map your firm’s actions to the compliance universe? Good and bad compliance and forming a compliance charter. What do you have to perform a Compliance Risk assessment? How do you involve senior management and other departments in their compliance responsibilities? … and more!
Whilst this guide is designed to provide a medium level of information, it is not a Janet and John Guide. We have not, as an example entered into the basics of financial promotions or suitability, completing fact finds or writing suitability reports as there is already help and guidance available at that level. We do not describe how to complete a regulatory online return as it is assumed that you are already an established financial services professional and have been involved in compliance for at the very least two years. So, if you’re serious about improving your role as the compliance officer and identifying good and bad practice and the affect on compliance within your firm then you need to grab a copy of “Compliance Manager Guidebook & Reference” now, because the leading compliance and business risks consultant, Lee Werrell of Compliance Consultant (https://www.complianceconsultant.org), who has over 25 years experience in financial services and compliance (and is a Chartered Fellow of the CISI – FCSI) will reveal to you how every a Compliance Manager can succeed in establishing themselves, and; Provide meaningful data, Deal with inquiries in a professional manner whilst remaining consistent in the answers, Maintain adequate governance throughout the firm, Create a single contact point for the regulators, Know the Approved Persons regulations, Know where to search for the relevant rules or guidance, Plan for regulatory visits and communicate effectively with the regulator and ensure your firm remains compliant in every aspect.
Any purchasers of this book will be entitled to a FREE copy of the revised edition due in early 2018. Simply send proof of purchase to info@complianceconsultant.org.