Banking Training.
Banks are required to ensure that employees understand and uphold the standards set out by FCA, which governs how firms deal with clients, manage conflicts of interest, communicate clearly, and act in the customer’s best interest.
Staff at all levels must be able to apply these principles in their day-to-day activities, and training is the mechanism by which firms can embed these requirements consistently across the organisation.
Regular, well-structured compliance training ensures that employees are aware of their obligations, reduces the risk of misconduct or mis-selling, and supports a culture of fair treatment, transparency, and accountability. It also enables banks to demonstrate to regulators that they are taking proactive steps to manage conduct risk — a key focus area under both COBS and the Senior Managers and Certification Regime (SM&CR).
Course overview
Easily track progress, monitor assessment results and automate reminders, ensuring clear compliance and measurable outcomes for your organisation.
- Understand what needs to be included in customer communications
- List the information that needs to be provided to customers
- Understand the post-sale requirements
- Understand who SM&CR applies to
- Understand your personal responsibilities
- Describe how the Regime works in practice
- Understand your firm’s obligations under the Regime
