In collaboration with the Association of Professional Compliance Consultants (APCC), we’re continuing with our series of webinars on building a robust, efficient, and long-lasting compliance function for your organisation.
This time around, we will be looking at what it takes for a professional to become the best possible compliance officer they can be. Our panellists will shed light on the training, skills, personality traits, knowledge, and other considerations required for you to succeed as a compliance officer.
Some of the questions to be discussed include:
- What is a compliance officer and what are their main duties and responsibilities?
- What university degrees are best suited for someone looking to enter the compliance sector?
- Is there any additional training (certifications, professional qualifications, etc.) you would recommend to someone looking to become a compliance officer?
- What sort of soft skills are required of a compliance officer to succeed?
- What is the best way for a compliance professional to familiarise themselves with the wide array of regulations that need to be followed? Any tips on how to do this?
- Is there anything else recruiters or company directors are looking for when hiring a compliance officer?
- And plenty more!
So join us on Wednesday, February 15th at 2:00 pm UK and come prepared with any other questions you might be curious about for our panellists to tackle.
Our Panelists
Graham Levi-Samper, Director, Complyport, United Kingdom
Graham has an extensive compliance background having spent over 13 years providing consultative services to authorised firms of varying sizes in a range of Financial Services sectors. Graham has been involved in and taken the lead in multiple FSA/FCA applications, general projects, conducting client reviews and work of a more bespoke and specialist nature.
Graham uses his previous industry and consulting experience to provide practical regulatory guidance and support both to a wide range of clients which include brokers, inwardly passported bank branches, fund operators and administrators, fund managers, private wealth managers, private equity and corporate finance firms as well as to other members of the team.
Prior to embarking on his consultancy career, Graham studied for three years at Swansea University, completing a law degree and subsequently going on to complete the Legal Practice Course at Guildford College of Law, for which he received a Pass with Commendation.
Graham holds the Diploma in Regulation and Compliance from the Chartered Institute for Securities and Investments and is looking to complete the two further modules of this diploma in order to qualify for the Diploma in Investment Compliance.
David Symes, Managing Director, Compliance Recruitment Solutions, United Kingdom
David has almost 34 years of experience in the UK Compliance sector, having started his career in April 1988 when the Financial Service Act 1986 brought proactive Compliance into force for the first time. He later became Deputy Head of Compliance for a FTSE 100 Insurance & Investment Group before setting up Compliance Recruitment Solutions (recruiting for Consultancies, Regulated firms and Regulators), thus he is well placed to advice on all aspects of starting & developing a Career in Compliance.
In addition, he has been a member of several APCC Working Groups, was previously President of the Institute of Chartered Accountants London Area (and still chairs their Compliance Group) and was also previously Chair of ACAMS UK Chapter.