Compliance e-learning

Click for the Compliance Online Demonstration E-Learning Course

Innovation from compliance & e-learning experts

Click the link above to view our sample courses for Anti-money laundering and MiFID

For more information about our elearning courses or our training consultancy services please call our sales team on 01344 899900 or via email sales@complianceonline.co.uk

*** Courses from £20 ***

Compliance courses from compliance experts

We provide an optimal solution of compliance expertise and cutting edge elearning solutions, delivering a library of over 30 courses, all of which can be easily customised to suit your policies and culture.

Access to the elearning courses is for one year and you can access the courses as many times as you like. The course will bookmark, so if you only get part-way through any course, you can next time either start from the beginning, or start from where you left off.

Innovative approach

All of the online courses are written by compliance experts, designed by ISO 9001-accredited instructional design experts, tailored free of charge and provide user tracking and real-time feedback. Other innovations include structured learning paths, pre-testing for course personalisation, refresher modules, expected performance scores and competency mapping.

FSSC Accreditation

In addition our e-learning provider has been accredited with the kitemark for Accreditation of Training Excellence for Providers by the Financial Services Skills Council (FSSC).

The FSSC is recognised by the Government as the authoritative body for setting objective standards for the financial services sector. It works with the industry to create and promote exemplary standards and consistently strives to improve efficiency of training in the industry.

FSSC accreditation and recognition is used as a trusted ’quality mark’ by firms and providers in the financial services sector and provides a benchmark to ensure your training solutions for T&D make an effective contribution to client’s businesses.

This highly sought after award means that Compliance Online is able to offer e-learning that has met the required standards of excellence.

Coverage

Compliance content

The compliance courses cover the widest available range of compliance topics and are kept up to date in line with regulatory and legislative changes.

Exam courses

In addition to the extensive list of compliance courses, other training is also available online, to cater for various T&C requirement and appropriate exam preparation. This additional training includes a library of 300 financial markets courses, each including competency tests, and innovative exam preparation programs for the CFA, FRM, PRM, IAQ & IMC exams.

The compliance course range includes anti-money laundering, ethics, financial crime, data protection, discrimination, treating customers fairly, market abuse, principles, approved persons, systems & controls, conduct of business, client assets, complaints and training & competence.

Use our courses for:

Data protection & money laundering all-staff rollouts
Market abuse updates
Compliance awareness programme
Exam preparation
Policy rollout & awareness monitoring
Product knowledge training

Features

Course delivery options

The courses are offered in four delivery levels. Standard courses deliver the whole syllabus, focusing on the rules and how it affects you and your business. Light courses focus on key personal responsibilities. Refresher courses are automatically personalised in response to an initial test. Email-based courses delivers a course in easily digestible chunks on a daily basis.

Tracking and Reporting The Administrator and Learning Management System was designed in consultation with Compliance and T&C managers and offers easy-to use management reporting and administration dashboards. The systems and courses are industry SCORM compliant, and can be integrated with third party or internal systems.

Regulatory updates Uniquely we offer Compliance Online regulatory updates to supplement the courses.

Bite sized learning- Courses can be delivered by email one chunk at a time to subtly incorporate a few minutes of learning into the business day.

Free customisation- Courses can be tailored to incorporate internal policies and procedures free of charge, using a simple editing tool.

Free bulk user loading Initial user data and settings will be loaded into the corporate installation free of charge.

Convert-to-course- Your existing documents can be converted to a course, eg product brochures, memos, MS Office documents or compliance policy manuals.

Easy launch- You will find the content is relevant, easy to use and tailor. At launch, the team can help with your internal marketing.

RoI As an additional service, our team can help you analyse return on investment by measuring changes in competency gaps.

Blended learning - We provide blended learning via classroom training, face-to-face boardroom briefings and individual assessment.

Client list

More than 100 firms have bought these courses, including:

Abbey Financial Markets
Anglo Irish Bank
Artemis
Axis
B&CE
Baillie Gifford
Bank of New York
Barclays Bank
Barclays Global Investor
Baring Asset Management
Bayerische Landesbank
Belgrave Capital Management
BSI
BSCH
Cantor index
Capital International
Chantrey Velacott
Cheshire Building Society
CIBC
CIC
Citigroup
Clay Finlay
CMC
CQS Management
Danske
DRW
EBRD
Edward Robinson & Co
EFG
EOS Fund Advisors

Erste Bank
Ernst & Young
Euram
Fischer Francis Tress & Watts
Fortis Investments
Gartmore
Gerrard
ING Bank
ING Lease
Instinet
Janus
JP Jenkins
JP Morgan
KBC Peel Hunt
KPMG
Lazard
Legal & General IM
Legg Mason Investors
Legg Mason Ltd
Lehman Brothers
Leopald Joseph
Lombard Odier
Louis Capital
Man Investments
McCracken Financial Group
M&G Investment Managers
Mellon
Metropolitan Police
MFS Investment Management

Mitsubishi Securities International
Moore & Smalley
Natexis
National Bank of Greece
Nottingham Building Society
Odey Asset Management
Old Mutual Asset Management
Pali
Pershing
Pictet
Premier Asset Management
Rogge
Royal Bank of Canada
RZB
Sabanci
Schroders
Scottish Widows
SIMNA
Standard Chartered Bank
State Street Bank
Sumitoma Trust
Sun Trust Bank
SVM
Swiss Re
Threadneedle
Tradition
UBS Investment Bank
UBS Global Asset Management
UBS Group

Managed Compliance Training Solutions

A fully managed solution is available to enable compliance departments to outsource their training initiative at varying levels. The following services are available as optional extra elements of your solution:

Training needs analysis - compare risks with previous training
Gap analysis - using sampled assessment
Proposed training plan - objectives, schedule, tailoring, critical success factors, mapping courses to departments
Customisation - eg branding, integration of your policies or write from scratch
Testing - working with your IT department to ensure a smooth rollout
Integration - update joiners, leavers, usage and results to HR database
Managed launch - welcome packs, queries & internal marketing
Managed administration our team can provide an additional service to handle reporting, logging and chasing staff who have not yet completed courses
Management reports we can create customised reports, standard reports help you comply with T&C
Presentation of analysis and follow up - issue certificates and generate a compliance awareness map of your firm; consider periodic assessments and top-up depending on results; circulate regulatory updates

A small consultancy fee is payable for billable hours.

Course List

FINANCIAL CRIME AWARENESS
Anti-money Laundering - Versions available for a range of industry sectors as well as by country. Fraud Prevention Market Abuse Regime Fighting Financial Crime

EXCELLENCE IN THE WORKPLACE
Introduction to UK regulation Complaints Handling Conflicts of Interest Personal Account Dealing Data Protection Preventing Discrimination in the Workplace Ethics

COMPLIANCE FOR MANAGERS
How the FSA works Principles for Businesses Approved Persons Senior Management Arrangements Training & Competence Complaints Handling for Managers

CONDUCT OF BUSINESS
COB: Conduct of Business Standards COB: Financial Promotions COB: Accepting Customers COB: Advising and Selling COB: Dealing and Managing Client Assets Inter-Professional Conduct

MORTGAGE CONDUCT OF BUSINESS
MCOB: Mortgage Conduct of Business Standards MCOB: General Standards MCOB: Financial Promotions MCOB: Advising and Selling MCOB: Disclosures MCOB: Lifetime Mortgages

INSURANCE CONDUCT OF BUSINESS
ICOB: Insurance Conduct of Business Standards ICOB: Financial Promotions ICOB: Advising and selling ICOB: Disclosures ICOB: Cancellation ICOB: Claims handling ICOB: Non-Investment Contracts

MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE (MiFID)
Understanding MiFID - Brokers & Dealers Understanding MiFID - Investment Manager Understanding MiFID - Investment Banks (Coming soon) Implementing MiFID - Broker & Dealers (Coming soon) Implementing MiIFID - Investment Managers (Coming soon) Implementing MiFID - Investment Banks (Coming soon)