Banking & Financial Compliance Package
1 Learner Reviews -
- Course Delivery: On Demand
- Duration: 79
- Language: English
- Difficulty: Intermediate
- Audience: Finance Professionals, Managers, Executives
- 53 industry-specific courses
- 100% online
- Self-paced, mobile, and interactive
- 24/7 customer support
The Banking and Financial Compliance courses explore safety and precautionary measures for staying compliant with financial rules, as well as reporting risks and red flags for money laundering, insider trading, and other financial crimes. With these comprehensive courses, learners understand the ethical issues and challenges that professionals face in the banking and financial industries.
These courses cover Anti-Money Laundering and Financial Crime, Finance and Accounting, FINRA Compliance, and Insider Trading.
Who Should Take This Training Series?
- Banking, Securities, International Trade, Government Contracting, and Insurance industry professionals.
- Finance & Accounting, Import/Export, and Contracts & Purchasing departments
- Supervisors, Managers, and Senior executives of publicly traded companies
The Following Courses Are Included In This Package:
- Anti-Money Laundering - General
- Anti-Money Laundering: Institutional Issues
- Compliance Issues for Investment Bankers
- Financial Reporting
- Internal Control and Fraud Detection
- Investment Risk and Policy
- The Sarbanes-Oxley Act
- And more!
- FINRA and Back Office Functions
- FINRA Communication Standards
- Advertising â Financial Professionals
- Brokerage, Mutual Fund and Variable Product Sales Practices
- Communication with the Public for the Registered Rep
- Understanding the Rules of FINRA
- Introduction to Research Analysts: Rule 2711 and Professional Responsibility
- Outside Business Activities
- Preventing Insider Trading
- Preventing Insider Trading: Laws, Compliance, Penalties
Subject Matter Expert
This course was created by the instructional design staff of 360training in connection with field professionals whose many years of experience in adult educational theory and distance learning technology make the process of certification, compliance and training as convenient, engaging and cost-effective as possible.
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