Achieving Compliance Excellence

Name: Achieving Compliance Excellence
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Rating: 3.5 (148 reviews)

Learn the concept of compliance and how to achieve compliance excellence in your industry with this free online course.

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Learning Outcomes

In this free course, you will learn how to:

Define compliance and state its importance in financial services
Identify the five essential components of compliance programs
Explain the importance of compliance management
Describe the roles and responsibilities of a compliance officer/auditor
Distinguish between external, internal, and IRS audits
Discuss the three components of GRC: corporate governance, risk management, and compliance, and how they work together
Evaluate the importance of compliance in financial services for maintaining fair, efficient, and transparent markets
Identify the seven elements of a compliance audit and understand their significance
Analyze the challenges faced by compliance officers and the strategies available to address them

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