Advanced Compliance Management in FCA-Regulated Firms

Introduction

This advanced compliance management training is designed for senior compliance professionals, SMF holders, and operational leaders in FCA-regulated firms who are responsible for ensuring ongoing regulatory adherence and embedding a robust compliance culture. In today’s fast-changing regulatory environment, recent updates to the FCA Handbook, heightened focus on Consumer Duty, strengthened financial promotions rules, and enforcement actions across multiple sectors have raised the bar for what the regulator expects from firms and their senior managers.

By attending this session, delegates will gain the latest insights into FCA priorities, practical strategies for addressing complex compliance challenges, and tested approaches for strengthening governance and controls. We will explore how to anticipate and mitigate regulatory risk, adapt to legislative changes, and avoid costly breaches that can lead to fines, customer detriment, and reputational damage.

Delegates will leave the session equipped with actionable tools, templates, and advanced problem-solving techniques to handle high-risk scenarios, respond effectively to FCA scrutiny, and embed continuous improvement in compliance processes.

What You Will Learn

This live and interactive course will cover the following:

• Understand FCA’s current regulatory priorities and thematic focus areas, including re-cent Handbook changes, policy statements, and enforcement trends
• Interpret and apply Consumer Duty requirements beyond the basics, with a focus on governance, MI, and evidencing good customer outcomes
• Navigate complex case studies in SMCR accountability, including “reasonable steps” and managing overlapping SMF responsibilities
• Strengthen monitoring & testing frameworks to detect and resolve compliance issues proactively
• Incorporate vulnerability best practice into policies, procedures, and customer jour-neys, aligning with FG17/3 and Consumer Duty
• Manage high-risk areas such as financial promotions, conduct risk, and conflicts of in-terest
• Prepare for FCA engagement — including responding to information requests, Skilled Person reviews, and thematic visits
• Embed a culture of compliance that drives behavioural change and reduces reliance on reactive measures
• Leverage technology & RegTech tools to enhance efficiency, accuracy, and record-keeping
• Apply lessons from recent enforcement cases to identify early warning signs and avoid common pitfalls
• Develop advanced reporting dashboards that link compliance MI to Board and ExCo de-cision-making
• Handle tricky compliance scenarios through interactive Q&A and group problem-solving

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.