$Career Switch to Financial Compliance and Controls\u2013 1 Day Course, Liverpool$

Pivot into financial compliance roles with practical skills, tools, and industry insights in Liverpool’s growing finance sector
About this Event

Bring your team and save

1. Groups of three or more receive a 10% discount

2. Organizations hosting an in-house session with 10+ participants enjoy a 15% discount

About This Course

• Duration: 1 Full Day (9:00 AM – 5:00 PM)
• Delivery Mode: Classroom (In-Person)
• Language: English
• Credits: 8 PDUs / Training Hours
• Certification: Course Completion Certificate
• Refreshments: Lunch, beverages, and light snacks included

Course Overview
This 1 Day workshop in Liverpool equips professionals to transition into financial compliance and controls roles. Participants will learn key regulatory frameworks, risk management principles, and industry best practices. Practical exercises and case studies provide hands-on experience in handling compliance processes, reporting, and audits. By the end of the session, attendees will have a personal roadmap to start or accelerate a career in financial compliance.

Learning Objectives
By the end of this course, you will be able to:
• Understand financial compliance frameworks and regulations
• Apply compliance and control processes in practice
• Manage risk and ethical responsibilities effectively
• Develop skills for financial reporting and auditing
• Plan a career path in financial compliance and controls
• Build professional networks in the finance sector

Target Audience
• Professionals aiming to transition into financial compliance roles
• Graduates seeking careers in finance or risk management
• Auditors, accountants, or banking professionals upskilling for compliance
• HR and L&D specialists supporting compliance teams
• Career changers exploring regulated financial sectors

Why Choose This Course?
Liverpool is a growing hub for financial and tech services, with increasing demand for compliance professionals. This course provides hands-on exposure to real-world scenarios and regulations, equipping participants with skills that employers actively seek. You will gain insights into compliance best practices, regulatory updates, and practical tools to succeed in this evolving sector.

Want to train your team?
We offer in-house sessions for organizations, tailored to specific workflows, regulatory requirements, and team development needs. These programs help employees adopt compliance practices efficiently while building a culture of risk awareness and governance.

📧 Contact us today to schedule a customized in-house session: [email protected]

Agenda
Module 1: Introduction to Financial Compliance

Info:
• Overview of financial regulations and governance
• Understanding risk, control frameworks, and regulatory bodies
• Key compliance roles and career pathways
• Quiz

Module 2: Compliance Processes & Controls

Info:
• Risk assessment and internal controls in financial institutions
• Monitoring and reporting compliance activities
• Identifying gaps and mitigation strategies
• Exercise

Module 3: Regulatory Requirements & Reporting

Info:
• Core UK and international financial regulations (FCA, AML, GDPR)
• Best practices in compliance reporting
• Real-world examples of regulatory challenges
• Case Study

Module 4: Ethics, Risk Management & Corporate Governance

Info:
• Ethical decision-making in finance
• Managing operational and compliance risks
• Understanding corporate governance responsibilities
• Role Play

Module 5: Career Planning & Skills Development

Info:
• Certifications, training, and professional development pathways
• Resume and interview preparation for compliance roles
• Networking strategies in the finance sector
• Group Discussion

Module 6: Action Plan Review

Info:
• Review key learning and create a personal compliance career roadmap
• Identify short-term goals and next steps
• Resources and professional networks
• Action Plan Review