Roles within Compliance - Searchlight Insurance Training

Roles within Compliance

Compliance roles are often glossed over  However it is important to establish strict guidelines as to the responsibilities of the compliance professionals within a firm from the outset.

Organograms are a useful tool to establish exactly what the corporate structure of your company is.  The roles identified within such documents involve the compliance structure whether singular or team based.

An organogram is also a document required by the regulator when they carry out any firm visit and therefore its construction is important to get right.

This workshop will help you do this and is suitable for senior managers and compliance officers.

Click “Check Availability” to find out which dates are available and make a booking or contact us on 01372 361177 or at training@ssluk.net . Alternatively, please let us know if you would like us to deliver this as an in-house workshop.

Level: Regulatory

Duration: 0.5 day(s) CII CPD Hours: 3
     

WORKSHOP OBJECTIVES

Understand Organograms

Establish an organogram for your firm

Understand the methodology in development of accurate organogram for regulatory submission

Identify control function personnel for audit/risk

Describe different types of organagrams to assist compliance

Understand different compliance roles

WORKSHOP CONTENT

Organograms:

•Use of software such as Word excel spreadsheets ,Smartdraw and other tools to compile organograms
•Structure in pyramid format bottom up /top down
•Addressing conflict,  ie placing staff above or below their perceived position without consultation

Roles:

•Objectives and importance of effective supervision
•Methods of control and monitoring competence
•Improvement of competencies and the links to client service
•Changing levels of supervision dependant on roles outside compliance
•For regulated activities -T&C definitions of training, coaching, assessment, monitoring and evaluation
•A regulatory training package to allow competence within a regulated regime.
•Allowing discretion when breaches occur