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Description of The Handbook of Compliance |
Compliance is one of the fastest growing professions in the financial services industry. This book tackles the issues in a practical and down-to-earth way.
This book, written by an experienced compliance professional, aims to provide officers with a comprehensive and accessible range of information, plus guidance on technique, to assist them in the implementation of their role within their businesses.
Those new to the profession are provided with a mini-training programme covering all key aspects, whilst experienced compliance professionals will benefit from the practical approaches to culture and the implementation of a risk-based approach. Also included is the Rules Navigator, a uniquely comprehensive and innovatively organized 'roadmap' of the main areas of obligations affecting financial services businesses.
This book sets out an integrated approach to managing compliance that will show you how to:
- achieve compliance more efficiently by adopting a risk-based approach
- design and deliver culture-building compliance training
- Êget maximum value out of your monitoring programme
- Êavoid delivering incomplete advice on the regulations
- communicate effectively with senior management and the regulators
- Êresolve issues quickly and satisfactorily
- get the balance right between compliance costs and benefits
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Contents of The Handbook of Compliance |
Part One - Setting The Scene
1. The regulatory framework
2. The regulators
3. Regulatory obligations
Part Two - Managing Compliance
4. The compliance function
5. Getting the culture right
6. Compliance training
7. Advising the business
8. Compliance monitoring
9. Communication
10. Handling Issues
11. Balancing costs and benefits
Part Three - Resources
Regulator profiles
Rules navigator
Summary of regulators' complaint handling arrangements
Further resources for compliance professionals
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