Quality Assurance for FCA Regulated Firms

Introduction

This virtual classroom session will help you develop and build on your firm’s Quality Approach.

Attending this session will empower those involved in the QA processs to have greater influence by increasing:

• Competence - You will be given clear, best practice tools and techniques to conduct your work
• Confidence - This session aims to build your confidence through building product knowledge and developing effective challenge and conflict resolution techniques
• Commitment - to continuous improvement for you, your colleagues and your firm

Delegates will be expected to have a basic understanding of the UK Financial Services regulatory framework and experience working in an FCA regulated environment with experience of reviewing calls, files and interactions.

This session will include discussions, practical exercises and your participation and interaction is encouraged.

What You Will Learn

This live and interactive session will cover the following:

• The purpose of the QA function in a regulated firm
• Increased awareness of best practice tools and techniques for assessing and reporting on the quality of calls/files/activity
• Understanding positive v negative customer outcomes
• Increased awareness of their influence within your firms
• Developed effective challenge, conflict resolution/management techniques
• Learn how to build and develop your regulatory and industry awareness
• Principles of QA
• Tools of the trade
• Describing your role
• Rules, guidance & outcomes
• Quality conundrums
• Calibration exercise

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.