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Compliance Training

Compliance Consultant conduct many training events for clients in-house. We can use your facilities or set up an event for you, alternatively we also run public courses.

IN HOUSE COURSES

We offer a range in house courses.

Anti-Money Laundering & Counter Terrorist Financing - Introduction

Type: The Introduction Level 1/2 Day Course
Cost: £290 (per person) (Min 4 persons)

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Anti-Money Laundering & Counter Terrorist Financing - Foundation

Type: The Foundation Level 1/2 Day Course
Cost: £290 (per person) (Min 4 persons)

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Anti-Money Laundering & Counter Terrorist Financing - Advanced

Type: The Advanced Level 1Day Course
Cost: £550 (per person) (Min 4 persons)

Coming Soon

Conflicts of Interest - Full Day Course

Type: Full Day Course (4 min persons)
Cost: £550 (per person)

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Conflicts of Interest - Practical Guidance for UK Firms

Type: Practical Guidance for UK Firms (Online)
Cost: £550 (per person) (Min 4 persons)

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Corporate Governance Code

Type: Full Day Course (Coming Soon)
Cost: £550 (per person)

Coming Soon

Digital Onboarding Easy To Use AML Checklist

Type: For Fintech Firms (Online Course)
Cost: £550 (per person) (Min 4 persons)

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FCA Code of Conduct - COCON

Type: Short Course (min 4 persons)
Cost: £35 (per person)

A history of where we came from to get to SMCR from the Approved Person Regime Weaknesses, The PCBS and FEMR to industry wide adoption in 2019.

Financial Crime

Type: Financial Crime: Fraud and Suspicious Transactions – 200 slides

Cost: £280 pp (minimum 3) – half day remote.

 

One off cost £320

Treating Customers Fairly & Conduct Risk Course

Type: Full Day Course, In-house Course (min 8 persons)
Cost: £232 (per person) 20% Off Normal Price

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Fraud including Credit Card Fraud and Suspicious Transactions Course

Type: Full day Course, In-house Course (min 8 persons – Online Course)
Cost: £232 (per person) 20% Off Normal Price of £290!

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Introduction to FCA Regulation PDF

Type: An introduction or Annual Refresher level training course.
Cost: £85 as a one off or £25 (per person) (Min 4 persons) remotely delivered.

 

The course covers the following areas:

  • The Regulatory Structure
  • FCA & PRA – Objectives and Roles
  • Authorisation and Approval
  • Enforcement
  • Supervision
  • Financial Crime
  • BONUS: Using the FCA Handbook Overview Supplement

SAR Workshop and Adverse Media Risk Assessments

Type: Full Day Course, In-house Course (min 8 persons)
Cost: £232 (per person) 20% Off Normal Price of £290!

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SMCR - Full Day Course

Type: Full Day Course
Cost: £550 (per person) (Min 4 persons)

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SMCR - Half Day Course

Type: Half Day Course
Cost: £290 (per person) (Min 4 persons)

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SMCR - For Limited and Core Firms

Type: For Limited and Core Firms (Online Course)
Cost: £99 (Min 8 persons)

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PSD2

Type: The Regulatory Technical Standards, Half Day Course
Cost: £290 (per person) (Min 4 persons)

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Vulnerable Customers

Type: Full Day Course (min 4 persons)
Cost: £550 (per person)

Special Rates For Group – Full Day Courses for minimum of 3 people or
1/2 Day Courses for a minimum of 5 people.

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CALL US TODAY ON 0800 689 0190

Compliance Consultant – ‘Making Compliance Work’

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We offer a range of free literature to help you make a start on your FCA compliance and provide useful insights.

Compliance Consultant Introduction
FCA Enforcement
Full Benchmarking or Annual Compliance Audit Gen Examples V1.2
Investment Due Diligence
S166 Assistance Service
Your Steps to GDPR
Vulnerable Customers
Good
Based on 49 reviews
Gerry Neu
Gerry Neu
2023-06-15
Lee, in particular, but the whole team has excellent FCA experience and provide the context for solid advice. What stands out, especially, is the practical approach and the understanding of compliance within a commercial environment. Much appreciated assistance in an FCA application, but also policies and procedures and MLRO activity.
SRUTI SOURAV SARANGI
SRUTI SOURAV SARANGI
2023-02-21
Compliance Consultant had imparted two days intense training on key compliance subjects . With highly experienced trainer, excellent content and captivating sessions they delivered the best to our team. We are thankful to Compliance Consultant for their services.
Simon Dhillon
Simon Dhillon
2022-08-23
I worked with Compliance Consultant for 2 years and was involved in a variety of projects for various firms, both start-ups and established. Lee was a pleasure to work with and was very knowledgeable about all aspects of compliance, this provided reassurance that client work was carried out to a high standard. The team at Compliance Consultant worked very closely and was always on hand to provide assistance or advice on specialist areas for eg FCA Authorisations or Audits.
SMTAKS
SMTAKS
2022-08-15
In a high pressure situation, Compliance Consultant stepped in to help us further understand the requirements and completely changed the authorization documentation urgently needed.
Angela Young
Angela Young
2022-01-27
First class service in every way. Whilst applying for FCA authorisation the original compliance company we were working with let us down. Feeling despondent, Lee from Compliance Consultant stepped in and assured us we would have our application submitted on time. Suzanna was our direct contact and she worked tirelessly to ensure we met our deadline. Not only did we meet our deadline, but our completed application was submitted to the FCA, 1 week ahead of schedule. Both Lee and Suzanna took the time to communicate clearly the detail within each section of the application. They went above and beyond and felt more like friends by the end of the process. I would highly recommend Compliance Consultant both in terms of professionalism and value for money. We look forward to working with Compliance Consultant in the future.
Grant Townshend
Grant Townshend
2022-01-10
We approached Lee between Christmas & New Year about some compliance work we urgently needed completing for a newco setup. He communicated very clearly what we would need and why. Once instructed, he delivered this on time and cost effectively. Recommended.
Mohamed Yassin
Mohamed Yassin
2021-10-28
Outstanding job on every level. We are very pleased with their work. Done on time, done on budget and they know what they are doing. They handled everything with extreme professionalism and delivered our project in a timely manner. We couldn't be happier with the end outcomes, Lee and his team were extremely thorough, understanding and responsive throughout each stage of our contract. We look forward to working with them in the future on our project. Thank you, Lee and Compliance Consultant team.

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