Exceed annual compliance training requirements


Tuesday, September 10, 2019 | By Lauren Jack, Director of the SS&C Learning Institute

Exceed annual compliance training requirements

Over the past ten years, we’ve seen a steady increase in the frequency, rigor and complexity of regulation in the financial services space. As global financial markets grow progressively sophisticated, it can be challenging to stay current with the latest developments. For example, in May of last year, many organizations around the world found they quickly needed to educate their workforce on the EU’s most recent General Data Protection Regulation (GDPR). And just this year, California, Connecticut, Delaware, Maine and New York all set out requirements for employers to provide sexual harassment training on an annual basis, with deadlines fast approaching over the next six months. Many states are sure to follow suit in 2020.

Any regulatory changes mean a corresponding need for training programs on the topic. As a result, many firms have begun to wrestle with compliance, as the necessary development, delivery and maintenance of an annual training curriculum can quickly become an administrative burden.

Key annual training topics for employers in the financial services space now include:

  • Anti-Money Laundering
  • Anti-Bribery and Anti-Corruption
  • Code of Conduct
  • Culture of Respect
  • Information Security and Data Protection
  • General Data Protection Regulation
  • Insider Trading Prevention

First line of defense

Not only are these training programs required by various regulations, they also make sound business sense. Your employees are your first line of defense. Educating them to implement best practices, successfully identify risks and handle threats is a win-win. Cultivating a compliance-oriented culture on an enterprise level will ensure your policies and procedures are consistently communicated and understood throughout your organization and by key stakeholders.

Lighten your load

SS&C understands our clients operate in complex environments where knowledge must adapt to changing conditions, roles, regulations and levels of employee attention and experience. We’re committed to providing our clients with validated, state-of-the-art solutions that engage and educate.

The SS&C Learning Institute has curated a curriculum of courses covering key annual topics and best practices. Developed to provide our clients with access to an affordable and convenient source for necessary compliance training, this suite of courses offers an interactive and engaging learning experience online, all documented and easily reportable to satisfy compliance requirements.

The Compliance Essentials solution from the SS&C Learning Institute helps employers to reduce regulatory risk and conserve staff resources. The program includes an array of reporting tools, allowing managers to easily administer and report on training across the whole organization while providing comfort to regulators, investors, clients and all key stakeholders. Our flexible solution also features enterprise integration and can be used with any learning management system.

From AML and Code of Conduct to best practices in information security and data protection, this suite of compliance training equips all employees to make better decisions.

Coming soon!

The SS&C Learning Institute will unveil this new compliance offering, Compliance Essentials, at the SS&C Deliver Conference in Orlando September 17-19th. The comprehensive training program was designed to cover key annual topics and industry best practices for SS&C clients. For more information, please download the brochure. To learn more about the SS&C Learning Institute, visit our website  or email us at gkreft@sscinc.com.



SS&C Learning Institute