Compliance Program - Working in the financial services industry (CPE50)

About the unit:

This course covers a range of topics relevant to those working in the financial services industry, and the compliance obligations that apply. Learn professional approaches to procedures, guidelines, policies and standards. Participate in and facilitate work team activities, understand and apply ethical and compliance requirements and develop and maintain personal competency. We delve into what these compliance obligations entail and how to apply them in principle.

Key topics include:

- Professional approaches to procedures, guidelines, policies and standards
- Participate in and facilitate work team activities
- Ethical and compliance requirements
- Develop and maintain personal competency.



Resource supplied:
- Organisational policy, procedures, legislation, regulations and codes of practice
- Specialist financial services software and data
- Common office equipment, technology, software and consumables.
- Case studies and, where available, real situations relating to payroll services.

Duration: 8 hours.

Accreditation: TPB Approved CPE Details/Format: Online Outcome/Learning: Compliance obligations and applying thes... Type: Structured Evidence of Completi...: Certificate CPE Hours: 8

  • About this Unit of Study
  • Assessment Plan
  • Welcome
  • Chapter 1
  • Chapter 2
  • Chapter 3
  • Chapter 4
  • Chapter 5
  • Chapter 6
  • Chapter 7
  • References
  • Assessment Workbook
  • FNSINC401 Assessment Workbook Download
  • FNSINC401 Assessment Workbook Upload
  • FNSINC401- Case Study Instructions
  • FNSINC401- Case Study 1
  • FNSINC401- Case Study 2
  • FNSINC401- Case Study 3
  • FNSINC401- Case Study 4
  • FNSINC401- Case Study 5
  • FNSINC401- Case Study 6
  • FNSINC401- Case Study 7
  • FNSINC401 Case Study 1 Upload
  • FNSINC401 Case Study 2 Upload
  • FNSINC401 Case Study 3 Upload
  • FNSINC401 Case Study 4 Upload
  • FNSINC401 Case Study 5 Upload
  • FNSINC401 Case Study 6 Upload
  • FNSINC401 Case Study 7 Upload
  • FNSINC401 Supplementary Evidence Upload
Completion rules
  • All units must be completed
  • Leads to a certification with a duration: Forever