MASTER: The Role of the Compliance Officer
This workshop explores the responsibilities of an SMF16.
This session will be delivered in our usual style, interactive with small delegate numbers to ensure that you get the most out of the sessions. Sharing best practices and learning how other firms approach situations is the name of the game for this style of event.
Find out more about our MASTER events below:
Why should I attend?
At the end of the workshop delegates will be able to:
- Fully understand the role of Compliance Officer and exactly what the regulator expects from you.
- Understand how you can effectively manage the compliance oversight function within your firm, or how to be ready to do so if you’re looking to step into this role.
- Understand the key processes you need to be aware of, and any pitfalls to avoid!
- Be able to identify what relevant processes, controls, and structures are in place to ensure the firm is operating within the FCA’s handbook rules and how to create them if needed.
Christian Markwick, Head of Adviser Support – Apricity Compliance.
Christian is Apricity’s Head of Adviser Support. Having been an adviser, T&C Manager & SM16/17 for many years, he is very well placed to understand what makes firms tick, what many are trying to achieve and how to assist them in getting there.
Maddie Delboy, Head of Regulatory Support – Apricity Compliance
After choosing a career in financial services straight out of university, Maddie’s experience as a compliance manager helps her empathise with adviser firms and their current frustrations surrounding compliance. With a fresh outlook on the industry, Maddie can help firms implement strategies and processes to ensure compliance is embedded effortlessly within a firm and its culture.