Compliance for New Joiners

It is not always possible, practical, or affordable to hire an experienced professional into your Compliance function. Often we take on less experienced individual's or trainees only to discover that we really do not have time needed to invest in the individual.


The very nature of compliance is becoming more complex, it covers increasingly broad areas, and carries ever greater penalties for getting it wrong. The compliance role ranges from designing processes, to drafting policies and procedures, to advising on specific deals, to reviewing files.

We provide formal training and coaching for your less experienced compliance personnel.


Below are details of the support we can provide. To obtain prices and availability please complete our training request form.

Suggested Course Content

The UK Regulatory Regime

This course is for those who are completely new to Compliance and have limited existing knowledge about the UK regulatory regime.

60 minutes

  1. Background to statutory regulation in the UK 

  2. How regulation is made

  3. Different types of regualtion

  4. The what, where and how of FSMA

  5. Navigating the FCA Handbook and PRA Rulebook

The regulatory lifecycle

This course works through the regulatory lifecycle from the perspective of both the regulated firm and the regulator

90 minutes

  1. Authorisations

  2. Supervision

  3. Enforcement

  4. How this differs for individuals

Regulatory Cornerstones 

This course works through the cornerstones of UK regulation, why these are cornerstones and the key features of each regime

60 minutes

  1. Fundamental Rules \ Principles for Businesses 

  2. CASS and Financial Crime

  3. Market Conduct

  4. Selling Products: Financial Promotions

  5. Individual Accountability

Regulatory Changes due to the 2008 crisis

This course covers the mass of regulatory change introduced following the financial crisis .

60 minutes

  1. Disclosure 

  2. Product governance and bans

  3. Conduct

  4. Major pieces of European legislation


This course covers the fundamentals of Brexit as it relates to the financial services sector and is for those who are new to Compliance or who need a quick recap on where we are.

60 minutes

  1. What it means for financial services 

  2. Regulatory approach

  3. Third country firms and the Temporary Permissions Regime

  4. What to expect

Can't find what you were looking for?

Let us know and we can discuss tailoring a course just for you.

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