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Culture of Compliance: Working in Financial Services



As of January 2nd, 2020 this course will no longer be available for sale.

Learn the importance of compliant decision-making in financial services

Professionals new to the financial services industry can often be overwhelmed as they encounter the complex rules and regulations that surround the industry. By understanding the importance of implementing rules and regulations in their daily interactions and dealings with clients, advisors can rest assured that they are providing the best service possible. This approach benefits not only their clients but also their financial institutions.

Reveal the impact compliance has on building client trust

The Culture of Compliance: Working in Financial Services course will help advisors appreciate the correlation between understanding the importance of why the financial services industry is highly rules-based and how to consistently make compliant decisions. This approach builds client trust over the long term and helps a financial institution thrive. Students will learn how to prevent mistakes, resolve ethical dilemmas and keep up on changes to rules.

Who should enroll?

Culture of Compliance: Working in Financial Services is designed for students at banks, insurance companies and trust firms. This includes bank sales associates, CSRs/tellers, mortgage specialists, financial advisors and branch managers. This one-hour mini professional development course qualifies for one additional CE credit.