Compliance Training

Introduction

Gem Compliance provides training on a number of different compliance topics. This can either be as a dedicated training course for your firm, or otherwise we run seminars on particular subjects as and when required.

The types of courses that we provide include:

  • Introduction to Financial Services Regulation
  • How to get the best out of Compliance Monitoring
  • Money Service Businesses – Introduction to FCA Supervision
  • Treating Customers Fairly
  • Financial Crime – Senior Management Responsibilities
  • Senior Management Approved Persons Responsibilities
If you have a particular training need, we can also develop a bespoke course for you.

In-house training

In-house training can be provided to suit your own compliance needs and if preferred in your offices. These courses can be for compliance staff, either those new to the role or new to senior management compliance roles. Alternatively courses can be run to focus for senior management on the roles and responsibilities of being a person with significant influence in a regulated firm.

External courses

Training is provided at Gem Compliance’s offices, usually in groups of no more than 10 attendees to ensure that the course is as practical and informative as possible. All course materials will be provided. Courses are normally either based on a 2 hour seminar or half day training course.

If you would like further information on the training courses available including costs and dates for external courses, please
contact Gillian Gallacher.
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