Financial compliance training

Compliance Training is an important part of a firm’s systems and controls, but it can be difficult to ensure your staff are fully engaged. We offer a compliance introduction training including the regulators, key principles of regulation, certain common rules/requirements, and what compliance in a company means. 

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Our training is designed for professionals working within fintech companies. We focus on empowering fintech businesses to build robust, in-house compliance capabilities through bespoke training tailored to their teams.

 

We deliver training sessions on a single, quarterly, or bi-annual basis. Each training session is conducted by an experienced member of our team and the participants are encouraged to engage and ask questions.

 

We offer training in the following key areas: 

 

- Regulated Financial Advice

- Data Protection

- Anti-Money Laundering 

- Financial Promotions 

- Market Abuse and Anti Bribery

- GDPR

- CASS (Client Assets & Money)

- Conduct Rules

- Vulnerable Customers 

- Complaints Handling and Conduct Rules (SMCR)

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The above list is not exhaustive and we can cater to your individual firm's needs.

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Why Our Training is Different

 

Unlike generic compliance courses, we don't offer off-the-shelf content. Instead, we tailor every session to reflect the unique activities, risk profile, and structure of your firm. From anti-money laundering (AML) and SM&CR to conduct risk and consumer duty, we provide practical, hands-on sessions that work with your operating model.

 

We regularly work with:

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• Compliance Officers and MLROs

• Operations and Risk teams

• Founders and Directors

• Teams preparing for FCA authorisation
   

Our training is structured around the specific needs, risks, and regulatory obligations of each fintech firm we work with.​​

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