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SpinDistribute.com Article Directory

The following article was published in our article directory on August 4, 2017.
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Compliance Managers Guidebook and Reference: a compliance risk management ebook for dummies

Article Category: Advice

Author Name: Lee Werrell, Chartered FCSI FISMM

Handbook on the best ways to carry out a role under UK regulatory requirements for a firm to meet compliance. The Responsibility of Compliance Directors Is Growing And It Is Vital They Have Their Finger On The Pulse.

As a UK Financial Services Regulatory Compliance Manager who would like to be sure they have all bases covered before any regulatory visit; or maybe like to know the secret tips of compliance risk assessments and business or operational risks; or perhaps 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 know; What do the planned 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 modified? Does the sales process have to be amended? Whenever these questions are asked, everyone turns toward "compliance" to ask them. If you are new or an old hand, you ought to know what the most recent changes are and effective ways to apply the requirements to your firm. If you need any of this and require to develop the role of the compliance officer within the compliance function or the the whole firm then help is available.

If you are intending to discover the effect on compliance and identify areas that cause concern to most compliance professionals, then you're about to discover effective ways to start improving, immediately! Indeed, 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, using this Ebook "Compliance Manager Guidebook & Reference", the best selling Ebook of it's type, gives you the answers to 17 important questions and challenges every Compliance Manager faces, including: The regulatory terrain; how did this evolve to today's landscape? How do you map your firm's undertakings 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 not a Janet and John Guide. We have not, such as entered 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 not describe exactly how to complete a regulatory online return as it is assumed that you are already an established financial services professional and have been involved in compliance for at the very least two years. So, if you're serious about improving your role as the compliance officer and identifying good and bad practice and the influence on compliance within your firm then you need to grab a copy of "Compliance Manager Guidebook & Reference" right now, because the leading compliance and business risks consultant, Lee Werrell of Compliance Consultant, who has over 25 years experience in financial services and compliance (and is a Chartered Fellow of the CISI - FCSI) will reveal to you how every a Compliance Manager can succeed in establishing themselves, and; Provide meaningful data, Manage 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, Know the Approved Persons regulations, Know where to seek out the relevant rules or guidance, Plan for regulatory visits and communicate effectively with the regulator and ensure your firm remains compliant in every aspect.

Any purchasers of this book will be entitled to a FREE copy of the revised electronic edition due in early 2018. Simply send proof of purchase to our main email address.

Keywords: how to be a compliance manager, how to compliance management,compliance management for dummies, easy compliance

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