Compliance Skills for Financial Institutions

In the new regulatory regime, compliance staff require not just core technical skills but behavioral competencies to be effective in their role.

The Moody's Analytics Compliance Curriculum is designed to provide compliance staff, both new and seasoned, with the skills and tools they need to execute their role in an increasingly risk-exposed environment.

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Compliance staff occupies the second line of defence. They need to have core technical and behavioral skills to discharge their substantial and increasingly wide-ranging duties effectively.

The role of the compliance officer has never been more important. Enhancements to regulatory regimes, including the use of attestations by regulators, are causing increased organizational exposure to regulatory sanction and greater personal risk for senior and certified people.

The regulatory focus is now on the complex concepts of risk culture and conduct risk. Compliance staff require not just core technical skills but behavioral competencies to be effective in their role and to reduce the organizational costs associated with compliance and regulatory risk.

The Moody’s Analytics Compliance curriculum is developed and delivered by a multi-disciplinary team, including award-winning practitioners and experts from the fields of:

corporate governance

organizational behavior

law enforcement

The curriculum provides a comprehensive Learning Pathway which is designed to provide compliance staff, both new and seasoned, with the skills and tools they need to execute their role. Whether engaged in compliance monitoring and testing, investigations, policy work or managing the relationship with the regulator, participants will learn how to apply complex theories in a way that benefits their function and their firm.