A Comprehensive Guide to UK Financial Services Regulation and Compliance

The trainer has had a highly successful, long and varied “fast track” career in risk management at Lloyds Bank, leading him to very senior management at an early age. He was then “headhunted” to join a merchant bank at the main board director level to head the risk management function. He now has over 40 years of experience in managing risk in the UK banking and financial services industry.

He has been a freelance Compliance, FCC & AML training consultant since retiring and is currently an external Master Trainer at both HSBC and Bank of China. At HSBC he has been a leading member of their Global FCC & AML training programme which is now entering its sixth year. He has created and delivered training to a vast range of clients, from global giants to small firms and partnerships. He is an accomplished global trainer and has delivered extensive programmes in the UK, USA, South America, Europe, Africa, Asia and the Middle East.

The trainer is a highly adaptive, hands-on and highly sought-after facilitator who always receives excellent feedback from delegates. He is comfortable training at any level of seniority and experience, from “black belts” to novices.  In addition to his risk management specialisation, his expertise includes but is not limited to Trade Finance, Regulatory Compliance, FCC & AML and all aspects of Corporate, Private and retail Banking. He is also a highly experienced soft skills trainer and has completed numerous “train the trainer” assignments.

• To consider the impact of recent events on both regulation and compliance – particularly the working-from-home phenomena.
• To consider the proposed post-Brexit changes that are being considered currently.
• To understand from both a “helicopter” viewpoint” - and where necessary - a detailed viewpoint of the way UK financial services law, regulation and compliance requirements are governed and applied in the UK.
• Understand the importance of the core elements of the present regulation and compliance framework.
• Get an overview of the Senior Manager Regime which is now mandatory in almost all regulated firms.
• Appreciate the significance as well as the impact of the Money Laundering Regulations updated by the 5th & the UK opted out, 6th Money Laundering Directives including the changes, general risk assessment and risk mitigation policies.
• Gain an understanding of the FCA’s Handbook and its current regulatory and compliance approach.
• Consider the likely changes to the regime going forward.

• Redcliffe has been established for over 20 years and we are proud of our reputation for providing consistently excellent risk management and financial compliance training.
• Our financial compliance training director has over 40 years of experience in the financial services banking and financial risk and regulation industry and retired at the main board director level. He has been delivering training successfully on risk and regulation for over 15 years.
• Redcliffe is pleased to have been appointed to Master Trainer status by two of the world’s largest financial services regulations institutions ensuring we are always at the cutting edge of strategic risk thinking and management.
• We have also delivered financial regulations training to many different types and sizes of financial firms. We know the topic extremely well and from many different perspectives.
• We always aim to immediately add value so that delegates hit the ground running following the completion of this course.
• We are always judged by our results and the feedback received from previous delegates has always been excellent.

Our financial services compliance training is a ‘must know’ for:

• Anyone new to the UK Regulatory Sector – it is suitable for ‘beginners’ who may have recently joined the sector.
• Anyone wishing to refresh or enhance their existing knowledge or understanding.
• Compliance and Risk Officers.
• Anyone working in a complex or widely diversified organisation who needs a “helicopter view” of UK regulation and compliance.

“May you live in interesting times” – the apocryphal curse – now seems to apply perfectly to contemporary financial markets. They remain in a fragile state and the next few months will be critical. There are also proposals to implement “Post Brexit” changes in regulation although how long it will take to pass from proposal to law is as yet uncertain.

Our financial regulations training has been designed to give either a comprehensive introduction or a comprehensive refresher of the UK Regulatory framework and takes full account of current market conditions and current risks. It is suitable for both beginners as well as those wishing to hone or refresh existing skills.