Introduction to Compliance Monitoring
Tuesday 27th October | 10:00 – 12:00 | 2 CPD hours | £195
Training Overview
This introductory level, highly interactive training session details all of the main elements involved in Compliance Monitoring. The session will provide a comprehensive understanding of compliance monitoring, focusing on its importance in ensuring regulatory adherence and operational integrity within financial institutions. The session explores the design, implementation, and evaluation of effective compliance monitoring programs.
Key Topics:
- Regulatory Expectations and Frameworks
- Building a Compliance Monitoring Programme
- Conducting Compliance Monitoring Activities
- Reporting and Escalation
- Evaluating and Enhancing the Programme
Learning Outcomes
- Understand the purpose and role of compliance monitoring in ensuring regulatory adherence and operational efficiency.
- Gain insight into the regulatory frameworks and expectations for compliance monitoring, including risk-based approaches.
- Learn the key components and steps to design and implement an effective compliance monitoring programme.
- Understand practical approaches to executing compliance monitoring activities, including thematic reviews, testing, and stakeholder engagement.
- Develop skills to create compliance reports and manage escalations effectively.
- Learn how to continuously improve and adapt compliance monitoring programs to changing regulatory and business environments.
- Foster collaboration and share best practices to enhance compliance monitoring practices within organisations.
Training and Venue Information
| CPD Authorised | Yes |
| Event Date | 27-10-2026 |
| Event End Date | 27-10-2026 |
| Price | One Place £195, Two Places from the same firm £340, Three Places from the same firm £500, additional Places £75 each. |
| Location | Online Training |