Compliance Training


Robert Quinn Consulting specialises in providing classroom-based FCA compliance training courses for our clients.

In the UK, the FCA’s expectation is that regulated firms have an appropriate level of compliance and financial crime training in order for the firm and its staff to be able to fulfil their regulatory obligations. We can provide bespoke training that directly addresses the needs of an individual or group of individuals. The course is delivered by an experienced senior consultant, which means that as well as delivering pragmatic content, the consultant is able to convey practical and ‘real life’ examples.

We seek to limit the number of attendees to ensure that the courses are as interactive as possible, and to encourage active participation by the attendees.

We can provide training at our offices or yours.

Training course topics that we offer include:

  • Introduction to the UK regulatory environment
  • Compliance induction and refresher training
  • Training for individuals seeking to become a Compliance Officer or Money Laundering Reporting Officer for the first time
  • Establishing and maintaining an effective compliance function
  • Financial crime training:
    • Money laundering
    • Market abuse
    • Bribery
    • Fraud
  • Obligations of Senior Management
  • Responsibilities of FCA ‘Approved Persons’
  • Obligations when conducting marketing / financial promotional activity
  • MiFID II
  • Product Governance
  • Senior Managers Regime
“One of the most insightful compliance training sessions we’ve ever had.

Partner, London based asset manager