Professional Certificate in Securities: Compliance Best Practices
-- viewing nowThe Professional Certificate in Securities: Compliance Best Practices is a comprehensive course designed to empower learners with the essential skills required in the rapidly evolving financial compliance sector. This program emphasizes the importance of maintaining a strong ethical framework and implementing effective compliance programs in the securities industry.
6,407+
Students enrolled
GBP £ 140
GBP £ 202
Save 44% with our special offer
About this course
100% online
Learn from anywhere
Shareable certificate
Add to your LinkedIn profile
2 months to complete
at 2-3 hours a week
Start anytime
No waiting period
Course Details
• Introduction to Securities Compliance: Understanding the regulatory landscape, compliance roles and responsibilities, and key industry terminology.
• Regulatory Environment: Overview of SEC, FINRA, and other regulatory bodies, their rules and regulations, and their impact on securities compliance.
• Compliance Program Development: Designing and implementing a comprehensive compliance program, including policies, procedures, and training.
• Risk Management: Identifying, assessing, and mitigating compliance risks, including cybersecurity and data privacy concerns.
• Supervision and Monitoring: Implementing supervisory controls and monitoring procedures to ensure ongoing compliance with securities regulations.
• Trading and Market Operations: Understanding best execution, soft dollars, and other trading practices, as well as market manipulation and insider trading risks.
• Advertising and Marketing: Compliant marketing and advertising practices, including social media and digital communications.
• Anti-Money Laundering (AML) and Know Your Customer (KYC): Implementing AML and KYC programs to prevent financial crimes and ensure regulatory compliance.
• Regulatory Filings and Reporting: Preparing and filing required regulatory reports, including Form ADV and Form PF.
• Compliance Audits and Examinations: Preparing for and managing regulatory audits and examinations, including responding to deficiencies and enforcement actions.
Career Path
Entry Requirements
- Basic understanding of the subject matter
- Proficiency in English language
- Computer and internet access
- Basic computer skills
- Dedication to complete the course
No prior formal qualifications required. Course designed for accessibility.
Course Status
This course provides practical knowledge and skills for professional development. It is:
- Not accredited by a recognized body
- Not regulated by an authorized institution
- Complementary to formal qualifications
You'll receive a certificate of completion upon successfully finishing the course.
Why people choose us for their career
Loading reviews...
Frequently Asked Questions
Course fee
- 3-4 hours per week
- Early certificate delivery
- Open enrollment - start anytime
- 2-3 hours per week
- Regular certificate delivery
- Open enrollment - start anytime
- Full course access
- Digital certificate
- Course materials
Get course information
Earn a career certificate