Certificate of completion issued to
Mateusz Zawadzki
For completing
Compliance Pathway
Completion date
23 Jul 2026
Delivered by
Accredited for
Certificate ID
cf65e6f8a2102d0b7f145e4ea53f65e7
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About Compliance Pathway
9 Learning modules
2 hours of learning
4.6 rating
Foundational level
Since 2008, compliance has been at the heart of the financial sector. This pathway will explore regulations, laws and guidelines (both internal or external) and how they will impact your working life. The videos in this pathway will ensure you understand enough to prevent and address any nonconformities in your everyday operations.
In this pathway
Understand the importance of compliance
Learn about regulations, laws, and guidelines
Prevent and address nonconformities in operations
Pathway experts
Peter Eisenhardt
Financial Markets Specialist
Peter has over 30 years experience working in banking. He has held several senior positions in international investment banks. Peter is now the Secretary General of the International Council of Securities Associations
Stephen Stokes
Compliance Specialist
Stephen began his career in various legal roles and gradually moved into compliance via legal research, and later a consulting role. Stephen has spent almost the last ten years advising firms on largely UK, EU and US regulatory compliance issues. He is now a Chief Compliance Officer at a London based hedge fund.
Iain Hoggarth
Risk and Compliance Advisor
Iain has been in the banking industry for about two decades. He has spent a large part of his career in commercial and corporate finance in both the frontline and risk functions. Iain has worked for large banks, small funds and has spent time in consultancy.
Roger Miles
Behavioural Science and Conduct Expert
Roger researches behavioural risks in organisations, and advises senior leaders on how best to communicate risk and conduct matters. Previously, Roger ran risk communication programmes for professional bodies and the British Government. He now runs industry-level Academies for Conduct and Culture, and produces workshops with financial firms.