Regulatory and Conduct Compliance
Regulatory and Conduct Compliance
What is Regulatory and Conduct Compliance?
Regulatory and Conduct Compliance teaches bankers and lenders how to approach their roles lawfully, ethically, and with integrity, in order to protect customers and minimize risk to the financial institution. The program is comprised of 14 micro-courses, each of which explores a different topic, from whistleblowing and managing conflicts of interest to building rapport with regulators and having difficult conversations during internal and external investigations.
What will you learn by taking this course?
- Apply tools and techniques to control actions and decrease the likelihood of personal misconduct.
- Identify techniques for ethically resolving conflicts of interest and other dilemmas.
- Describe a process for raising concerns (i.e., whistleblowing) at a financial institution.
- Perform due diligence to ensure client assets are properly accounted for and recorded, and identify techniques for handling any accounting discrepancies.
- Explain how a customer’s investment and lending objectives and risk tolerance relate to product suitability.
- Recognize the characteristics of an effective corporate governance system and the role of the board of directors.
- Communicate effectively with regulators and investigators, and respond appropriately during regulatory examinations and investigations.
- Collect and handle customer data in line with data protection arrangements, and recognize the cybersecurity and information security threats that the financial institution faces.
With Moody’s eLearning:
- You will remain engaged in training, thanks to our interactive, multimedia lessons and quizzes
- You elevate your professional currency by completing a course from a globally recognized leader in the credit training space
- You develop skills you can immediately apply on the job, instantly transforming your performance
Product Brochure
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Contact Us
If you have further questions, please contact our Support Team at
Regards,
Moody's Client Services Team
Who Is Taking This Course?
- Compliance officers
- Risk managers
- Portfolio managers
- Finance officers
- Relationship managers
- Operations officers
Certifications for India
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