THE COMPLIANCE DEPARTMENT

The Compliance Department

Phone: 01270-303179

enquiries@compliancedepartment.co.uk

341167034
T & C
SUPPORT

Training

Training

• Regulatory training
• Due diligence
• File review
• Financial planning
• Fact finding
• Risk profiling
Find out more

SMCR

SMCR

• Assessments
• Declarations
• Certificates
• Conduct rules and ethics
Find out more

Onboarding

Onboarding

• References
• Credit checks
• Job description
• Contracts
• Competence
• Certificates
• FCA registration
Find out more

CPD

CPD

• Annual plans
• Subject guidance
• Half yearly reviews
Find out more

T&C Support

Observations / Roleplays

Observations / Roleplays

• Video assessments and feedback
Find out more

Competence

Competence

• KPI assessments
Find out more

121s

121s

• KPI
• File review
• Observation assessments
• Document preparation
Find out more

Inductions

Inductions

• Regulatory training
• Competence assessment
Find out more

Want to know more?
Phone: 01270-883260