Building a Robust Financial Services Compliance Program

Introduction

Is your firm's compliance program as effective as it should be?

A robust compliance program is crucial for ensuring your business stays healthy, maintains a positive culture, and treats clients fairly. If you are a compliance manager or supervisor at an FCA-regulated firm, this session is for you. This virtual classroom session will guide you through the FCA’s objectives and requirements, helping you understand what your firm needs to do to fulfil its obligations and get the most out of your team.

Focusing on the compliance program will help a business hone its processes, as well as ultimately, help to create better outcomes for its customers. Consumer Duty is focusing the industry further into evidencing that the regulated firm is doing all they can to act in the clients’ best interests - illustrating thoughtful creation, monitoring, analysis and evaluation of your firm’s compliance program is a key tool in this process.

Join us to learn how to enhance your compliance program, meet the challenges of Consumer Duty, and demonstrate your firm’s commitment to acting in the best interests of your clients.

What You Will Learn

This live and interactive course will cover the following:

• Understanding the FCA rules surrounding compliance programs
• Creating a high-level strategy for your firm’s compliance program
• The importance of evidencing your firm’s systems and processes
• Building confidence in your firm’s compliance
• Instilling the ethos of Consumer Duty into your business

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.