The Responsibility of Compliance Directors/Managers Is Increasing And It’s Really Vital That They Have Their Finger On The Regulatory Pulse
The number 1 guidebook on the foundations of methods to conduct a compliance role under UK regulatory requirements (FCA & PRA) for any firm in order to satisfy regulatory compliance.
Being a effective and successful UK Financial Services Regulatory Compliance Director/Manager who wants to make sure they have all bases covered before any regulatory visit; or maybe wish to know the real key tips of compliance risk assessments and business or operational risks; or you are new in the job and want insights into hot-topics, enforcement and regulatory methodologies and best practice.
Then the “Compliance Manager Guidebook & Reference” is written for you.
Regulatory Compliance is continually changing and many people people need to understand;
What the latest changes mean?
What changes have happened to the regulatory Handbooks?
What impact does this have on the sales process?
Does the documentation need to be changed?
Does the sales process need to be amended?
Whenever these questions are asked, everyone turns toward “compliance” to inquire about them, and “compliance” need the answers fast!
For anyone who is new or an old hand, you should know precisely what the latest changes are and the way to apply the requirements for your firm.
If you want to answer any of the above or need to develop the role of the compliance officer within the compliance function or even the entire firm then help is at your fingertips. If you are planning to identify the impacts on compliance and identify areas that cause concern to a lot of compliance professionals, then you are just about to discover how to start improving, today!
In fact, we deal with a number of components of the role of the Compliance Manager in connection with regulators along with the regulators current perspective and hotspots, with this Book “Compliance Manager Guidebook” , the best selling Compliance Guidebook of it’s type, which gives you with the answers to 17 important questions and challenges every Compliance Manager faces, including:
The regulatory terrain; how did it evolve to today’s landscape?
Just how do you map your firm’s activities to the compliance universe?
Good and bad compliance and forming a compliance charter
Precisely what do you need to conduct a Compliance Risk assessment?
How do you involve senior management along with 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, for instance gone into the basics of financial promotions or suitability, completing fact finds or writing suitability reports since there is already help and guidance available at that level. We don’t describe how to complete an RMAR return since it is assumed that you are already an established financial services professional and have been involved in compliance for no less than 24 months.
So, if you’re seriously interested in improving your role as the compliance officer and identifying good and bad practice as well as the impacts on compliance within your firm then you’ve got to grab your copy of “Compliance Manager Guidebook” right now, because the leading compliance and business risks consultant, Lee Werrell of Compliance Consultant (www.complianceconsultant.org), (who has over 25 years experience in financial services and compliance and is a Chartered Fellow of the CISI) will disclose to you how every a Compliance Director/Manager can be successful 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 look for the relevant rules or guidance,
Plan for regulatory visits
ALL THIS FOR ONLY £35!
We will also send you a PDF Ebook of
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We will send you, normally by 1st Class UK Postage (“Signed For”) your printed copy (UK Only). We will typically do this within 48 hrs and mostly even less, but please allow up to 18 days for delivery. There is no extra charge for this. Worldwide Charges Apply if outside the UK – Alternatively, a copy may be obtained from Createspaceat https://www.createspace.com/4411309send us proof of purchase and we will send you the Free Ebook.