Compliance Training and Board Briefings
Designed and delivered by senior experienced consultants with institutional regulatory experience. All instructor-led. All bespoke.
Financial services firms need compliance training that goes beyond tick-box exercises. Our bespoke compliance training workshops and board briefings are designed and delivered by former heads of compliance and ex-regulators, providing practical guidance that teams can apply immediately.
Whether you’re a UK-regulated firm following FCA and PRA requirements, or an international firm seeking expert insight into UK regulatory standards, our sessions translate regulatory obligations into actionable implementation.
We deliver:
- Board briefings for directors and senior management seeking strategic regulatory insight
- Compliance workshops for first and second line teams implementing regulatory requirements
- Tailored sessions for specific roles: MLROs, compliance officers, SMFs, traders, and operational staff
Our sessions work for groups of any size, or individually. All delivered by practitioners with institutional regulatory experience, not generic trainers.
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ADDRESSING YOUR REGULATORY CHALLENGES
Financial services firms continue to face heightened regulatory scrutiny across AML controls, consumer outcomes, operational resilience, and governance. Consequently for UK-regulated firms, this means meeting FCA and PRA expectations. For international firms, it often means understanding UK regulatory frameworks as you enter or expand in UK markets.
Bespoke Sessions Tailored to Your Business
Our briefings and workshops are designed and delivered by former heads of compliance and ex-regulators who bring institutional-level expertise to firms of all sizes.
We regularly support clients looking to upskill their inhouse teams in often complex areas of regulation. Helping firms of all sizes to embed robust frameworks and meet supervisory expectations. Sessions are always tailored to your business, providing practical tools and strategies that can be put to immediate use.
BOARD BRIEFINGS & STRATEGIC REGULATORY INSIGHT
International firms entering UK markets, and UK firms handling multiple regulatory regimes often need strategic-level briefings for boards and senior management. So our board briefings provide:
- Regulatory landscape overviews for firms entering UK markets
- Strategic implications of major regulatory developments (non-financial misconduct, Consumer Duty, governance of AI, operational resilience, etc.)
- Regulatory expectations for senior managers and board members under SMCR
- Sector-specific regulatory updates and supervisory themes
- Risk and governance frameworks tailored to your business model
Our briefings are delivered by former heads of compliance and ex-regulators who understand both regulatory expectations and practical business implementation.
Example Courses
Governance & Accountability
Senior Managers & Certification Regime (SMCR)
The Senior Managers and Certification Regime establishes clear accountability for individuals in key roles. Consequently the FCA continues to take action where firms fail to maintain adequate governance arrangements, statements of responsibilities, or conduct frameworks. As a result, our SMCR compliance training helps senior managers understand their responsibilities and equips firms to operate effective SMCR frameworks that meet regulatory expectations.
- Taking on a Senior Manager Function (SMF)
- SMCR Governance
- Handling Conduct and Non Financial Misconduct
Consumer Duty & Conduct
Consumer Duty continues to reshape how firms design products, communicate with customers, and demonstrate good outcomes. In addition the FCA expects firms to evidence compliance across all four outcomes areas, with particular focus on vulnerable customers and fair value assessments. Our training helps embed Consumer Duty requirements into day-to-day operations and decision-making.
- Consumer Duty Implementation & Embedding
- Fair Value Assessment Framework
- Vulnerable Customers
- Consumer Understanding & Consumer Support
Markets and clients
MiFID
MiFID II requirements continue to evolve, with regulators maintaining focus on product governance, conflicts of interest management, and post-trade controls. As a result firms must demonstrate effective oversight across the product lifecycle and robust systems to identify and manage conflicts. Therefore, our training translates complex MiFID requirements into practical desk-level implementation.
- Product Governance
- Conflicts of Interest
- Post Trade Controls
Market Abuse
Market abuse remains a significant regulatory risk, with the FCA taking action where surveillance and control room arrangements are inadequate. As a result firms must demonstrate effective systems to detect, prevent, and report suspected market abuse. Our training equips your teams to design proportionate risk assessments and operate effective surveillance and control frameworks.
- Market Abuse Risk Assessment and Controls
- Surveillance
- Control Room
Client Assets (CASS)
Client asset protection remains a critical FCA priority. As a result the regulator is maintaining focus on CASS compliance through both thematic work and firm-specific reviews. Recent supervisory findings have highlighted weaknesses in reconciliation processes, governance arrangements, and regulatory reporting. Consequently, our training ensures your team understands CASS requirements and can implement robust controls that protect client assets and meet regulatory expectations.
- CASS Fundamentals & Framework
- CASS 15 Safeguarding
- CASS Reconciliations & Controls
- CASS Audits & Regulatory Returns
- CASS for the PRz (SMF)
Financial Crime
Building Robust Financial Crime Controls
Money laundering and financial crime controls remain an FCA and OPBAS supervisory priority. Resulting enforcement action has emphasised inadequate risk assessments, weak transaction monitoring capabilities, and poor sanctions screening. Our training helps firms build robust, proportionate controls that withstand regulatory scrutiny and adapt to evolving financial crime threats.
- AML/CTF Risk Assessment & Controls Framework
- Transaction Monitoring & Investigations
- Sanctions Screening & Implementation
- Strengthening Defences Against Fraud
Risk Management
Operational Resilience
Operational resilience requirements introduced by the FCA and PRA require firms to identify important business services, set impact tolerances, and regularly test their ability to remain within those tolerances. Furthermore the regulators expect firms to demonstrate continuous improvement in their resilience capabilities. Our training helps firms design and implement effective operational resilience frameworks that meet regulatory requirements and protect critical business operations.
- Operational Resilience Framework Design
- Impact Tolerances & Important Business Services
- Scenario Testing & Self-Assessment
Outsourcing and Third Party Risk Management (TPRM)
Outsourcing and third-party risk management have come under increased regulatory scrutiny. As a result the FCA and PRA emphasise the need for robust due diligence, ongoing monitoring, and effective governance over material outsourcing arrangements. Our training helps firms build proportionate frameworks for assessing, onboarding, and managing third-party and outsourcing risks in line with regulatory expectations.
- Third Party Risk Assessments and Onboarding
- Third Party Risk Management Control Frameworks
- Outsourcing Assessments and Risk Management
can't find what you're looking for?
All our workshops and briefings are bespoke. Whether you need board-level strategic insight or operational compliance workshops, we design sessions for your specific regulatory challenges and business context.
Why Our Compliance Training Works
Delivered by senior experienced consultants
Every session delivered by experienced regulatory practitioners, not generic trainers
Institutional expertise, accessible delivery
Our team have been heads of compliance, and regulators, and now make that expertise available to firms of all sizes
Bespoke content
We tailor every course to your firm's size, regulatory status, and specific challenges
Practical implementation focus
Training that translates regulatory requirements into policies, procedures, and desk-level controls
Current and comprehensive
Content reflects the latest regulatory expectations and enforcement themes
OUR CREDENTIALS
Leaman Crellin’s training is designed and delivered by senior consultants who have led regulatory change projects, skilled person reviews, and have delivered compliance training to global financial institutions. As a result our instructors bring both regulatory expertise and practical implementation experience from building compliance functions at institutions like Standard Chartered and Barclays.
Ultimately, we aim to translate complex regulation into actionable training that equips your teams to operate confidently and independently.
WHY CHOOSE LEAMAN CRELLIN?
Depth and Breadth: Decades of regulatory and industry experience, spanning all key sectors and regulatory themes.
Practical Focus: We demystify regulation and focus on what matters, equipping you to make informed, risk-aware decisions.
Tailored Delivery: Every engagement is bespoke, designed to deliver measurable value and lasting impact.
Inclusive Approach: We work with all levels, from front-line staff to executive teams, ensuring everyone is equipped to meet regulatory expectations.
