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Risk Based Compliance  

Risk Based Compliance  
For Trading Environments

Welcome to our Continuous Learning Path where you can become a Risk Based Compliance Officer in Trading Environment through our interactive online system and then attend the masterclass session later on in the year.

You get the best of both worlds !!!

Learn online now, become an expert + attend a masterclass later in the year & share your knowledge with other leading practitioners.

Lifetime access to learning portals

You become LSBF Certified

Special Covid-19 Discount

Learn Online + Conference

Bring your special project

Next Session Begins

/ for 18 days

Ideal for Learning Travellers

Becoming a Certified Risk Based Compliance Officer is an expected learning pathway for all compliance staff and this course on best practice recommendations and designs from the compliance, audit and risk management fields.

  • Compliance Managers

  • Auditors assessing compliance

  • Crossover Risk Managers

  • New Compliance Officers

  • Control Teams


RTE01 | Trading Environment Scope
RTE02 | Regulatory Trends
RTE03 | Instrument Fundamentals
RTE04 | Front Office Modus Operandi
RTE05 | Middle Office Processes
RTE06 | Strategic Compliance Challenges

Trading Environments

RTE07 | Trading Taxonomy for Compliance
RTE08 | RBC Trading Focus
RTE09 | Case Study Rogue Trading
RTE10 | Compliant Trading Culture
RTE11 | Top 10 Compliant Evasion Methods
RTE12 | Trading Support Compliance Breach

Control & Standardisation

Compliance Detection & Assessment

RTE13 | Trading Function Compliance Profiles
RTE14 | AI Compliance Data Sets
RTE15 | Breach Identification Maturity
RTE16 | Front to Back Red Flags
RTE17 | AI & Compliance Assessments
RTE18 | Staff Profiling & Direct Assessment

Risk Based Compliance  

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