Instruction book on how to conduct a role under UK regulatory requirements for a firm to meet compliance. The Responsibility of Compliance Managers Is Growing And It Is Vital They Have Their Finger On The Pulse As a UK Financial Services Regulatory Compliance Manager who wants to make sure they have all bases covered before any regulatory visit; or maybe you want to kw the secret tips of compliance risk assessments and business or operational risks; or perhaps you are new in the job and want insights into hot-topics, enforcement and regulatory methodologies and best practice. If so then the Compliance Manager Guidebook & Reference is written for you. Regulatory Compliance is constantly changing and many people need to kw; What do the latest changes mean? What changes have happened to the regulatory Handbooks? What impact does this have on the sales process? Does the documentation need to be changed? Does or sales process need to be amended? Whenever these questions are asked, everyone turns toward compliance to ask them. If you are new or an old hand, you need to kw what the latest changes are and how to apply the requirements to your firm. If you need any of this and need to develop the role of the compliance officer within the compliance function or the the whole firm then help is at hand. If you are hoping to discover the impacts on compliance and identify areas that cause concern to most compliance professionals, then you're about to discover how to start improving, right w! In fact, we will deal with a number of aspects of the role of the Compliance Manager concerning the regulators and the regulators current perspective and hotspots, with this Kindle Ebook Compliance Manager Guidebook, the best selling Ebook of it's type, which gives you the answers to 17 important questions and challenges every Compliance Manager faces, including: The regulatory terrain; how did it evolve to today's landscape? How do you map your firm's activities to the compliance universe? Good and bad compliance and forming a compliance charter What do you need to perform a Compliance Risk assessment? How do you involve senior management and other departments in their compliance responsibilities? ... and more! Whilst this guide is designed to provide a medium level of information, it is t a Janet and John Guide. We have t, for example gone into the basics of financial promotions or suitability, completing fact finds or writing suitability reports as there is already help and guidance available at that level. We do t describe how to complete an RMAR return as it is assumed that you are already an established financial services professional and have been involved in compliance for at least two years. So, if you're serious about improving your role as the compliance officer and identifying good and bad practice and the impacts on compliance within your firm then you need to grab a copy of Compliance Manager Guidebook right w, because the leading compliance and business risks consultant, Lee Werrell of CEI Compliance, (who has over 25 years experience in financial services and compliance and is a Chartered Fellow of the CISI) will reveal to you how every a Compliance Manager can succeed in establishing themselves, and; Provide meaningful data, Deal with inquiries in a professional manner whilst remaining consistent in the answers, Maintain adequate governance throughout the firm, Create a single contact point for the regulators, Kw the Approved Persons regulations, Kw where to look for the relevant rules or guidance, Plan for regulatory visits
Lee Werrell was born and grew up in Buckinghamshire, England and joined the Royal Navy in 1976. After 12 years and with a young family he ventured into the world of sales and then consultancy where he now runs a successful management consultancy that serves financial institutions nationwide in the UK. Married with two daughters and eight grandchildren there seems little time to do the finer things in life but Lee manages to find time for his writing. He says that he enjoys the thought that other people get a kick out of his stories and that is the satisfying part of being an author, coach and EBook friend that he tries to be. Compliance Consultant is the most flexible of UK Regulatory Consultancies, providing fast responsive solutions for the financial services industry. With qualified and experienced staff we have the specialist knowledge and experience to solve your challenges today!