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Applied Investment Dealer Compliance

 

Improving compliance skills in real life scenarios

Monitoring, evaluating and mitigating compliance risks have never been more important. With ever increasing financial product complexity and client diversity as well as increased scrutiny by regulators compliance specialists must be adept at problem-solving and analyzing in a fast-paced, ever changing environment.

Introducing the NEW Applied Investment Dealer Compliance (AIDC) course

The NEW AIDC course provides compliance employees at securities firms with the opportunity to role play and deal with the real life scenarios that crop up daily in retail or institutional account settings. This opportunity for a hands-on interactive learning empowers students to apply their new skills at their own firm, preparing them for further advancement in their compliance careers.

Who Should Enrol

The AIDC course is designed for financial professionals who are early to more advanced in their compliance careers. Retail account supervisors, trade desk supervisors, branch managers and compliance officers in different settings would consider the course an asset for career advancement. The AIDC is specifically of interest to students who have completed CPH and BMC; need to fulfill CE compliance requirements; or are working towards the NEW Certificate in Investment Dealer Compliance.

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