Employees in financial services need to understand how ethics and compliance principles and laws apply to their daily interactions. Compliance training that keeps pace with evolving regulations in the financial services industry helps ensure that employees know what to do (and what not to do) to recognize red flags and reduce risks, prevent violations, and protect the organization’s reputation. Anti-corruption/anti-bribery, anti-money laundering, cybersecurity, and code of conduct are among the foundational courses to foster a speak-up culture and ethical mindset.
“Another hallmark of a well-designed compliance program is appropriately tailored training and communications.”
Department of Justice revised guidance on the Evaluation of Corporate Compliance Programs
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Courses for you
Anti Bribery & Anti Corruption (FCPA)
Knowing that bribery is a crime is just the first step. Training employees on why anti-bribery laws matter and what to do when they spot it creates a clear path to handling situations that involve a lot of uncertainty.
A global issue, money laundering is also a federal crime with significant consequences. Educating teams on what it is, how to spot it and how to prevent it help protect your organization and employees.
Avoiding Insider Trading
Insider trading directly affects public confidence in the securities market, and can happen at any level of your organization. When employees know their responsibilities, they can help protect themselves and the business.
Code of Conduct
Codes of Conduct help communicate an organizations' core values and principles. Ensure your employees understand their responsibility to act with honesty and integrity.
General Data Protection Regulation (GDPR)
GDPR globally impacts how businesses handle data. Train your employees in navigating complex privacy laws to create a more ethical approach to managing information and protect your business.