Risk-based Compliance Monitoring under the FCA

Corporate Training Partnerships
Course summary
6 hours
625 GBP excl. VAT
Full time
Online courses
Next available date: 07/07/2021 09:30 - Online courses
Last application: class size limited
Professional Training
	Risk-based Compliance Monitoring under the FCA

Course description

Risk-based Compliance Monitoring Under the FCA

Today, Compliance managers are under more pressure than ever to make sure they are targeting risks, and resources, as effectively as possible and adapting their monitoring to the changing regulatory environment.

Making extensive use of CASE STUDIES and practical EXAMPLES, attending will help Compliance and Monitoring professionals identify the principle compliance risks in their business and design and execute a risk based compliance monitoring plan accordingly.

Attending this practical workshop will help you:

  • Demonstrate the effectiveness of your controls to the regulator
  • Effectively identify, categorise and prioritise compliance risks
  • Explore the use of Key Indicatorsfor risks and controls
  • Examine monitoring techniques (desk based, exception reporting, systems, visits); and know how to select the most appropriate option
  • Determine when to escalate issues and change monitoring levels
  • Construct a comprehensive compliance monitoring plan that will prioritise risks and drive out resource requirements
  • Tailor your reporting to different groups to make sure critical messages are received and understood
  • Keep your programme up to date: respond to monitoring results emerging regulatory hot spots
  • Develop both your technical monitoring and ‘softer’ skills set: establishing credibility, obtaining buy-in, managing resistance

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Suitability - Who should attend?

This training course is designed to enable less experienced Compliance and Monitoring staff develop their capabilities and skills. It is also suitable for more seasoned Compliance Managers who wish to refresh and update their approach, as well as Risk and Audit professionals who wish to improve their knowledge of compliance risk management.

Outcome / Qualification etc.

Attendance at this training event can provide 6 CPD training hours to count towards delegates' continuous professional development needs.

Training Course Content

This Risk-based Compliance Monitoring course will cover the following key topics:

The risk based monitoring approach

Latest regulatory developments in risk based monitoring

Researching the risks facing your firm

Preparing the monitoring plan

Reporting results

Remedial monitoring

Course delivery details

This course will be delivered via a real time slide sharing and live audio visual platform, accessible by desktop computer, laptop, tablet or smartphone. Class size will be limited to ensure a high quality and interactive learning experience.

In-house / Company-specific training

CTP can also adapt and deliver this training course in-house, to meet the specific needs of your team.

Top 10 Awards


Top 10 Winner - 2021

We're delighted Corporate Training Partnerships is a winner of our Top 10 Courses 2021 in Top 10 Online Crisis Management Courses.

Each year, we select the Top 10 most popular courses on our site in some of the most popular categories to make it easier for our users to find the right course for them - so you can book with confidence.

About provider

Corporate Training Partnerships - CTP: Regulatory, Risk Management and Technical Training for Financial Services Organisations

CTP are a specialist training company serving the financial services sector since 2002. Our clients include both dual (FCA and PRA) regulated and solo (FCA) regulated firms. Fully independent with no consulting or technology arms or products, no third party...

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Corporate Training Partnerships

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Average rating 4.6

Based on 30 reviews.

This covers an essential introduction and overview of how to set up your compliance monitoring
N+1 Singer
Shell Trading & Shipping Company
Gary is an excellent trainer/facilitator and I'd highly recommend others to attend his courses
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