Finance & AccountingAdded Sep 14, 2026

Financial Services - Basics of Regulation & Compliance

Get an Understanding of the Regulatory and Compliance environment in the Financial Services Sector

4.4 / 5.0
502 ratings
5h 44m 51s
On-demand
English
Audio
Baba Oyewole, Narelle Ferreira
Instructor
Financial Services - Basics of Regulation & Compliance100% OFF
  • 5h 44m 51s on-demand video
  • Certificate of Completion
  • Mobile, TV & Desktop Access
  • Full Lifetime Access

What you'll learn

Purpose of financial regulation
Role of global regulatory bodies
Key legislation and their impact
AML, KYC and CTF principles among many others
Importance of customer due diligence
Regulatory Environment
Ethics and Compliance Culture
Risk management strategies
Use of RegTech in compliance
Ethical leadership and culture
Data protection in financial services
Consequences of non-compliance

Course Description

Financial Services - Basics of Regulation & Compliance is a comprehensive introduction to the ever more important Regulatory/Compliance aspects of Financial Services.


In the financial services landscape, regulation and compliance are more critical than ever.


This course, "Financial Services – Basics of Regulation & Compliance" course is designed to provide professionals, students, and financial enthusiasts with comprehensive understanding of the rules, frameworks, and ethical principles governing global financial systems.


This course demystifies the complexities of compliance, offering insights into regulatory bodies, key legislation, risk management practices, and cutting-edge technology shaping compliance functions.


Through practical case studies, real-world examples, and a globally informed curriculum, learners will explore anti-money laundering practices, market abuse regulations, risk management, internal controls, reserves ratio requirements, data protection laws like GDPR, and the role of RegTech in compliance tasks.


Learners will also delve into the cultural and ethical aspects of compliance, understanding how a strong compliance culture can protect firms from financial and reputational harm.


Whether you're new to the industry or looking to deepen your knowledge, this course equips you with essential tools to navigate financial services with confidence and integrity.


This course is recommended for everyone working (or interested) in the financial services sector, including: Compliance Officers, Risk Managers, Investment Bankers, Financial Analysts, Internal Auditors, Legal Advisors, Accountants, Finance Students, Operations Managers, Entrepreneurs, Insurance Professionals, AML Analysts, KYC Specialists, Treasury Professionals, Fund Managers, Regulatory Consultants, Financial Advisors, Ethics Officers, Project Managers in Finance, FinTech Professionals and many more.


I know this course will be an asset to you, your profession and organization.


best regards,

Baba Oyewole FCCA

Who this course is for:

  • Compliance Officers
  • Risk Managers
  • Financial Controllers
  • Regulatory Officers and Officials
  • Investment bankers
  • Banking professionals
  • Financial Analysts
  • AML Analysts
  • Internal Auditors
  • External Auditors
  • KYC Specialists
  • Legal Advisors
  • Accountants
  • Management Consultants
  • Finance Students
  • Operations Managers
  • Insurance Professionals
  • Entrepreneurs
  • Treasury Professionals
  • Fund Managers
  • Financial Advisors
  • Regulatory Consultants
  • Ethics Officers
  • Learning and Development Professionals
  • Project Managers in Finance
  • FinTech Professionals

More free Finance & Accounting courses

FRM Exam Prep: Part III Mock Questions & Timed Practice Test100% OFF
Finance & AccountingAdded 12 hours ago

FRM Exam Prep: Part III Mock Questions & Timed Practice Test

Book Option
4.7(100)0sEnglish
$84.99Free
Get Coupon
FRM Exam Practice Tests: Part I Mock Questions for Success100% OFF
Finance & AccountingAdded 12 hours ago

FRM Exam Practice Tests: Part I Mock Questions for Success

Book Option
4.7(100)0sEnglish
$84.99Free
Get Coupon
UK VAT for Business: Rates, Returns, Records & MTD100% OFF
Finance & AccountingAdded 13 hours ago

UK VAT for Business: Rates, Returns, Records & MTD

Learn Edge
4.7(100)4h 7m 4sEnglish
$84.99Free
Get Coupon
Análisis y suscripción del riesgo crediticio corporativo100% OFF
Finance & AccountingAdded 13 hours ago

Análisis y suscripción del riesgo crediticio corporativo

Starweaver Group, Paul Siegel, Globecon Experts
4.9(8)2h 10m 34sSpanish
$84.99Free
Get Coupon

Never miss a free coupon

Instructor coupons expire fast — often within hours of reaching 1,000 enrollments. Join our Telegram channel for instant alerts when new verified coupons drop.

Join Telegram