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4.6 (31 Reviews)

Risk Based Compliance Monitoring under the FCA (Live Online)

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Course description

	Risk-based Compliance Monitoring under the FCA

Risk Based Compliance Monitoring under the FCA (Live Online)

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. Yet despite their best efforts, many firms continue to face action or have significant failures of controls. Monitoring is too often approached as a mechanistic task focused on rote compliance, not the “outcomes” on which the FCA is focused.

Through extensive use of 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.

Suitability - Who should attend?

This focused workshop has been designed to help less experienced Compliance and Monitoring staff develop their capabilities and skills and for more seasoned Compliance Managers to refresh and update their approach. It will also be of benefit to Risk and Audit professionals who wish to improve their knowledge of compliance risk management.

Outcome / Qualification etc.

CPD hours: 6

  • Demonstrate the effectiveness of your controls to the regulator
  • Effectively identify, categorise and prioritise compliance risks
  • Explore the use of Key Indicators for 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, leveraging FCA tools like the “Conduct Risk Framework/Journey”
  • 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

Course delivery details

The course programme will comprise a blend of trainer presentations, group discussion, practical examples and case studies. There will be ample opportunity for questions, experience sharing and networking. All course materials (and at face-to-face events, refreshments and lunch) will be provided.


Average rating 4.6

Based on 31 reviews.
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02 Feb 2023

This was an excellent and illuminating course, providing great food for thought for implementing its content into real world context. Gary was an expertly informed and engaging...

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06 Feb 2020
Essential introduction and overview

This covers an essential introduction and overview of how to set up your compliance monitoring

N+1 Singer
06 Feb 2020

Fantastic interactive course


Course Fees: £725.00 + vat per person

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Corporate Training Partnerships
PO Box 501
The Nexus Building, Broadway
SG6 9BL Letchworth Garden City Hertfordshire

Corporate Training Partnerships

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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