Buy used:
$9.91
FREE delivery May 20 - 24. Details
Or fastest delivery May 14 - 17. Details
Used: Good | Details
Sold by ThriftBooks-Phoenix
Condition: Used: Good
Comment: Former library book; Pages can have notes/highlighting. Spine may show signs of wear. ~ ThriftBooks: Read More, Spend Less
Access codes and supplements are not guaranteed with used items.
Kindle app logo image

Download the free Kindle app and start reading Kindle books instantly on your smartphone, tablet, or computer - no Kindle device required.

Read instantly on your browser with Kindle for Web.

Using your mobile phone camera - scan the code below and download the Kindle app.

QR code to download the Kindle App

Follow the author

Annie Mills
+ Follow
More books from this author
Something went wrong. Please try your request again later.

Essential Strategies for Financial Services Compliance 1st Edition

by Annie Mills (Author)
3.8 3.8 out of 5 stars 9 ratings
See all formats and editions

There is a newer edition of this item:

Essential Strategies for Financial Services Compliance
Essential Strategies for Financial Services Compliance
$54.68
(19)
Only 1 left in stock (more on the way).
Compliance officers perform a vital, yet unpopular role in the business world as they advise on complying with myriad rules and regulations. What is good for compliance is sometimes seen as being bad for business, making a compliance officer's role a difficult one. Essential Strategies for Financial Services Compliance offers practical guidance on how to apply a regulatory requirement to day to day situations. It also shows how to communicate the compliance department?s activities to the rest of the firm, how the role fits within the organization as a whole, what the scope and limitation of their responsibilities are, what to do when things go wrong, and how to deal with unusual problems.
Read more Read less
Previous page
  1. ISBN-10
    0470519045
  2. ISBN-13
    978-0470519042
  3. Edition
    1st
  4. Publisher
    Wiley
  5. Publication date
    September 22, 2008
  6. Language
    English
  7. Dimensions
    7 x 1.1 x 9.9 inches
  8. Print length
    374 pages
  9. See all details
Next page
Amazon First Reads | Editors' picks at exclusive prices

Editorial Reviews

About the Author

Annie Mills (London, UK) has worked in the compliance industry for nearly 10 years, working in many areas of investment management and banking compliance. Currently she is Senior Compliance Officer, Global Banking and Advisory at Standard Bank, where she has held previous positions as Head of International Compliance Monitoring, and as Compliance Officer. During her time at Standard Bank, her compliance team won the 2005 Compliance Register Award for Best UK Compliance Department. Previous to Standard Bank, Mills worked for Grindlays Private Bank, Guardian Investment Holdings, and First Marathon Securities. She presently sits on the Examining Panel for the Securities and Investment Institute's Regulation and Compliance Diploma.

Product details

  • Publisher ‏ : ‎ Wiley; 1st edition (September 22, 2008)
  • Language ‏ : ‎ English
  • Hardcover ‏ : ‎ 374 pages
  • ISBN-10 ‏ : ‎ 0470519045
  • ISBN-13 ‏ : ‎ 978-0470519042
  • Item Weight ‏ : ‎ 1.79 pounds
  • Dimensions ‏ : ‎ 7 x 1.1 x 9.9 inches
  • Customer Reviews:
    3.8 3.8 out of 5 stars 9 ratings

About the author

Follow authors to get new release updates, plus improved recommendations.
Annie Mills

Annie Mills

Brief content visible, double tap to read full content.
Full content visible, double tap to read brief content.

Discover more of the author’s books, see similar authors, read author blogs and more

Customer reviews

3.8 out of 5 stars
3.8 out of 5
9 global ratings

Top reviews from the United States

There are 0 reviews and 0 ratings from the United States

Top reviews from other countries

Triathlete franz
4.0 out of 5 stars Great book on the dark arts of compliance
Reviewed in the United Kingdom on August 31, 2014
Verified Purchase
Great book on the dark arts of compliance! Presently consulting to a major global bank and this tome is key a key reference.
Furthermore, it excellently writing for easy understanding.
Report
Alexia.E.W.
5.0 out of 5 stars The compliance world
Reviewed in the United Kingdom on August 8, 2012
Verified Purchase
When I purchased the book I wanted to expand on my overall knowledge on compliance, especially in the investments' section. The honesty of the author about the compliance industry in terms of investments is astonishing. Consequently, (and even though I have not yet read through all the book) I am sure that this book is a must read for those wanting to making it big in compliance or those wanting to familiarize themselves with the banking and investments industry. The brief on regulatory framework is recommended. This book is a must have in your library. Thanks to the author for taking the time to write it.
Report
NAOUFEL
4.0 out of 5 stars Four Stars
Reviewed in the United Kingdom on December 5, 2017
Verified Purchase
good
Report
David Meadows
5.0 out of 5 stars Pricey but worth ecery penny
Reviewed in the United Kingdom on May 12, 2013
Verified Purchase
Makes a boring topic actually interesting - well done to the author. Some it the information is now slightly out of date but I would recommend it to anyone working in a Compliance Department
Report
James Skinner
5.0 out of 5 stars Excellent overview
Reviewed in the United Kingdom on December 30, 2013
Verified Purchase
Very well written. Covers most bases even though it's a little dated now and doesn't cover the 3 lines of defence employed by most banks these days.
Report